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Years of Experience
ProfileEquities Compliance & Operational Risk Control (C&ORC)
Qualification and Experience
Qualifications: A BS/BA degree (MBA or JD Degree a plus). 2+ years’ experience in advisory compliance covering institutional equities sales and trading desks. Working knowledge of the broad range of rules and regulations that apply to institutional equities broker-dealers, including those promulgated by FINRA and the SEC. Strong research and writing skills. Successful experience of leadership, both in terms of people as well as projects and initiatives. Strategic, judgement and integrative thinking skills, deep risk management knowledge, as well as good organizational, communication and influencing skills. A strong team player who can collaborate and communicate effectively with key stakeholders to drive change. Able to manage and prioritize multiple tasks or projects in order to meet both internal and external deadlines. Able to make decisions, resolve conflicts, challenge the first line of defense and exercise sound judgment under pressure. Able to operate at both a detailed and strategic level, possessing attention to detail and organization skills, as well as excellent presentation and communication skills.
Job Reference # 198252BR
1285 Avenue of the Americas
New York City, NY 10019