• Tower Research Capital LLC
  • $165,260.00 -165,260.00/year*
  • New York , NY
  • Legal
  • Full-Time
  • 16 Lispenard St

Compliance Officer (NY, NY) Address real-time compliance issues stemming from trading in worldwide mkts. Maintain & optimize surveillance systems to monitor trading, ensure compliance w/ global regulatory regimes, & analyze possible non-compliance. Ensure that trading strategies are properly disseminated in full compliance w/ regs. Act in an advisory role w/ regard to all asset classes of trades. Write global policies & procedures. Coord global surveillance efforts. Provide regulatory updates to staff, & assist w/ regulatory inquiries. Coord the bldg of global compliance tools, incl surveillance systems. Liaise w/ other support teams on the implmtn of global initiatives. Req: Bachelor's in Business Mgmt or a rel fld +3 yrs' exp w/ European regulatory frameworks as they relate to high frequency trading; knowl of global regulatory regimes, particularly those for European mkts & FCA registered trading entities; & 3 yrs' exp w/ surveillance systems that impact trading activities. Send cvl/res w/ job #TRCCO to: HR, Tower Research Capital LLC, 377 Broadway, 11th Fl, NY, NY 10013.

T Jobs.Category: Marketing & Biz Dev, Keywords: Compliance Manager
Associated topics: attorney corporate, business, company, compliance, compliance office, counsel, courtroom, legal affairs, legal department, market

* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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