Technology Compliance Officer

Company:
The Forum Group
Location:
Jersey City, NJ
Job Type:
Full Time
Yrs of Exp:
2+ to 5 years
Posted:
4/5/2013

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Job Description


Key responsibilities will include:

We are seeking a versatile Compliance Officer who is experienced, intelligent, eager, personable, independent, assertive and able to work in a fast-paced, time-sensitive, stressful financial and technological environment. The position will report to the Deputy Chief Regulatory Officer/Chief Compliance Officer. The job responsibilities include the following:

  • Providing compliance and regulatory advice to the Technology and Product Management areas of the firm;


  • Testing and validating systems infrastructure for compliance with the exchanges' rules and applicable laws and regulations;


  • Supporting the Incident Management process with regards to Firm's ongoing compliance with regulatory requirements, guidelines and evolving expectations;


  • Developing and operationalizing Policies and Procedures regarding the role of compliance in the software development life cycle in the change management process;


  • Advising Technology and Product Management on initiatives including systems enhancements and new regulatory developments;


  • Performing risk assessments on existing surveillances and monitoring tools for the exchanges;


  • Working closely with industry networks to stay abreast of market structure developments and industry initiatives;


  • Assisting in regulatory inquiries, inspections and examinations;


  • Liaising with the Internal Audit Department and Chief Information Officer on internal audits of Technology-related functions and processes; and


  • Contributing to the development of repeatable, sustainable, adaptable, and demonstrable processes throughout the firm.


Requirements

The ideal candidate would have the following qualifications and experiences:

  • An undergraduate degree from a 4-year institution;


  • 5-7 years of relevant experience in a Compliance, Technology or Business Analyst role;


  • Strong understanding of electronic trading systems;


  • Experience developing trading systems or the implementation of testing and monitoring of trading systems for compliance with relevant rules;


  • Good judgment and the ability to stand up to and earn the confidence of colleagues in Technology;


  • Excellent verbal and written communication skills;


  • Superior time management and organizational abilities;


  • A proven ability to handle multiple projects and solve problems in a fast-paced work environment;


  • An advanced degree (MS, MBA or JD); and


  • Series 7 and 24 (will be expected to complete if not currently licensed).

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