Senior Compliance Advisor
Boston, New York, United States of America
Full Time
5 days ago
$85,000 - $171,000 USD
No Visa Sponsorship
Key skills
Communication
About this role
Role Overview
- Provide a range of support to trading desks and product areas within FCM
- Provide technical and interpretative guidance to FCM personnel
- Develop and maintain written supervisory procedures, compliance policies and other documentation
- Implement necessary Compliance changes due to new or amended regulatory requirements
- Partner with compliance colleagues and business partners on regulatory matters and surveillance issues
Requirements
- Subject matter expertise in equity and options trade reporting platforms or operational trade support
- In-depth understanding of the securities markets and associated regulations
- Strong written and oral communication skills
- College degree required, business major preferred; MBA or law degree a plus
- Prior trade reporting compliance or product experience (i.e., CAT, CAT CAIS, LOPR, ACT, 605/606) is required
Benefits
- Comprehensive health care coverage and emotional well-being support
- Market-leading retirement
- Generous paid time off and parental leave
- Charitable giving employee match program
- Educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career