What are the responsibilities and job description for the Compliance Manager position at Robert Half?
Our client, a well-established and highly successful Broker Dealer firm, is seeking a skilled Compliance Manager to join their team. This key role works to ensure the firm's adherence to SEC, FINRA, and Exchange regulations, while closely collaborating with trading, operations and risk teams. Key Responsibilities:- Overseeing Consolidated Audit Trail (CAT) compliance and ensure timely regulatory filings.- Testing order handling, execution, and trade reporting (Reg SHO, NMS, Rule 606).- Analyzing order routing disclosures (Rule 606) for regulatory compliance.- Responding to SEC, FINRA, and exchange regulatory inquiries and audits.- Maintaining and enhancing compliance policies, procedures, and testing programs.- Providing management with written reports on compliance risks and corrective actions.- Collaborating with trading, operations, risk, and legal teams to ensure effective compliance controls.- Driving efficiency improvements in compliance oversight and business processes.For immediate consideration please send you resume to Alex.Muzaurieta@roberthalf.
Salary : $150,000 - $175,000
