Trading and Liquidity Strategies Advisory Compliance Director
|Reference # :||17-05256||Title :||Trading and Liquidity Strategies Advisory Compliance Director|
|Location :||new york, NY|
|Position Type :||Direct Placement|
|Experience Level :||Start Date :||06/01/2017|
|Eclaro International is currently recruiting for Trading and Liquidity Strategies Advisory Compliance Director for one of our financial services clients.|
This individual would be responsible for leading Trading and Liquidity Strategies (TLS) Advisory Compliance efforts for the Americas with certain global responsibilities as well. More specifically, this individual would execute and enhance the Americas TLS regulatory compliance program including: (1) developing and/or implementing policies, procedures and processes; (2) identifying or partnering with the Transactional Surveillance and Forensic Testing Team to identify and create monitoring with respect to Americas TLS regulatory requirements; and (3) serving as the Americas TLS subject matter expert responding to business inquiries, educating the business on new or updated regulations, and serving on certain governance committees.
Americas TLS business includes Trading, Cash Management, Securities Lending, and Transition Management and is located in New York City, San Francisco and Princeton. The successful candidate would be responsible for coordination within the Legal and Compliance Department and with business and support function (e.g., Portfolio Compliance, Risk & Quantitative Analysis) personnel at multiple locations globally.
• 10+ years of compliance experience with an asset manager, consultant, and/or regulator.
• Extensive experience with fixed income, derivatives and cross trading, including implementation and management of regulatory compliance programs.
• A compliance background in equity trading, transition management and/or securities lending a plus.
• In depth knowledge of the US federal securities laws especially the Investment Advisers Act of 1940 and rules thereunder; knowledge of other Americas and global regulatory requirements (e.g., CFTC, FCA) a plus.
• Strong written/oral communication, organizational, and interpersonal skills.
• Ability to work as part of a team and independently in a fast-paced environment.
• Bachelor's degree required; master's degree or law degree a plus.