POSITION: Chief Compliance Officer
Reports to General Counsel and CEO
Company Description: Our client is a 13 year old, fast growing global alternative research and institutional equity trading firm based out of New York. With 5 offices in the US, Europe and Asia, the firm utilizes over 200 investigative journalists/analysts in over 50 countries to provide industry and corporate information not available or focused on by traditional wall street analysts and is considered to be the worlds largest channel checker on the “Street”. With the ability to tap over 30,000 experts in over 50 countries, the firm is gaining market share among US institutional investors in a rapidly globalized economy.
Job Description: Chief Compliance Officer is wanted for our clients expanding team. This person will ensure that the company is consistent with FINRA and other regulatory rules and that staff and management are aware of their responsibilities in this regard. Preferred candidate will be a leader with both technical and interpersonal skills. Knowledge of employment laws and a legal background would be a big plus.
Responsibilities:
• Lead all aspects of FINRA and SEC compliance as it relates to Institutional Investing and Trading, Research Dissemination,
• Oversee all FINRA Audits and Exams
• Provide leadership and compliance related recommendations to keep the firm operating at the forefront with “best of breed” service and technology.
• Be able to wear several “hats” and contribute to the growth and prosperity of the firm.
• Maintaining and enhancing communication with all areas of the business and most importantly with the Front Office and General Counsel.
• Improving the existing monitoring procedures and enhancing and developing them;
• Review and monitoring of Best execution policy;
• Training staff in aspects of Compliance and stop specifically include Market Abuse
Qualifications:
• 7+ Years of previous compliance experience at Broker / Dealer, Bank, or Brokerage firm that provides both equity trading and investment advise/research on US and Internationally-based publically traded securities to US institutional investors.
Extensive experience and knowledge of FINRA and SEC requirements
• Integrity & Values - Can be trusted to act in a manner that is truthful and values direct, honest communication at all levels of the organization.
• Results Oriented – Is able to make timely or planned decisions appropriate to the circumstances or situation.
• Interpersonal Confidence - Strong interpersonal skills; can effectively communicate and relate to all levels within and outside the organization; creates and builds positive and productive relationships.
• Adaptability - Responds quickly and effectively to changing trends and circumstances; embraces change and welcomes fresh perspectives; learns from past mistakes and adjusts accordingly.
• Managing Processes - Ability to manage appropriate steps to get projects completed; has strong abilities to organize processes.
• Organizational Ability - Can manage to get projects completed; has a strong ability to multi-task and keep order.
• Knowledge of employment law a plus
A Law Degree from NY or CA is also a plus
