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Over the past several months, we have seen substantial growth within our Institutional Brokerage business crossing multiple product sectors including equities, options and fixed income products. With this in mind, we are actively seeking an experienced compliance associate who has worked in support of corporate bond trading at a broker dealer to join our team in our New York office. Your knowledge of trading rules and trade reporting is critical in this role and we will look to you to leverage this expertise to ensure that the business is meeting both current and future trade compliance and reporting requirements set forth by the securities regulatory authorities. In this role, you will have the opportunity to interact extensively with our traders, operations staff and colleagues across the firm, as well as external regulators as you monitor trading activity that is taking place. This role offers you a unique opportunity to increase your working knowledge and skills in compliance and provides you with a background from which to grow your career.
On line review of daily trading to monitor for best execution and front running
Follow-up review of trading to ensure proper trade reporting
Review of operations exception reports and follow up for resolution
Assist in various technology enhancements and documentation of systems
Review / enhance compliance and trade reporting processes and procedures to meet the needs of an evolving business incorporating any new/updated securities regulations as applicable
Assist in Regulatory Examinations
Some travel to other SIG offices may be required
QUALIFICATIONS:
Minimum of three (3) years of experience in a compliance role supporting corporate bonds for a broker / dealer required; experience with other fixed income, equites and options products preferred
Experience with trade management and trade reporting systems critical
A deep understanding of trading rules and trade reporting required
Familiarity with the regulatory issues facing an institutional broker dealer critical
Exceptional communication skills, both written and verbal, are required
Series 7 and 24 licenses are a plus
SEARCH FIRM REPRESENTATIVES: Please read carefully. SIG is not seeking assistance or accepting unsolicited resumes from search firms for this employment opportunity. Regardless of past practice, all resumes submitted by search firms to any employee at SIG via-email, the Internet or directly to hiring managers at SIG in any form without a valid written search agreement in place for that position will be deemed the sole property of SIG, and no fee will be paid in the event the candidate is hired by SIG as a result of the referral or through other means.
If interested, please apply online at http://track.jobviper.com/ViewJob.asp?id=649481-1366-5153
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