AVP Equities Compliance Advisory

Company:
The Forum Group
Location:
New York City, NY
Job Type:
Full Time
Category:
Capital Markets
Yrs of Exp:
2+ to 5 years
Posted:
5/10/2013

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Job Description


Key responsibilities will include:
  • Assist in covering compliance issues in Equity Derivatives, products include: Listed Equity Derivatives, Convertibles, ETFs and Index Derivatives.
  • Conduct regular reviews of policies and procedures to ensure compliance with laws and regulations.
  • Maintain accurate and complete compliance documentation.
  • Assist with responding to regulatory inquiries and exams.
  • Assist in the review of new Equity Derivative related initiatives and products


Person Requirements

Basic Qualifications:
  • 4-year college degree
  • 2+ years of working experience

Preferred Qualifications:
  • Knowledge of Broker-Dealer operation and sales and trading functions a plus
  • Knowledge of audit and regulatory inquiry processes/principles a plus
  • Good communication skills, ability to interact and work closely with business partners.
  • Reliable, dependable, accountable.
  • Basic product knowledge of Listed and OTC Equity Derivatives
  • Understanding of the rules of main US Options and Stock Exchanges
  • Proactive person who challenges processes and looks for improvements.

Strong Oral and Written Communication Skills

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