Compliance IT Lead


: $140,375.00 - $170,130.00 /year *

Employment Type

: Full-Time


: Information Technology

Equities Technology ? IT Compliance Lead


Required Background:

  • Excellent experience handling regulatory/compliance inquiries, data pulls, familiarity with the inquiry process and hands-on experience to handle them effectively
  • Experience with FINRA TAMMs Guidance and Annual Examination Priorities letter
  • Up to date knowledge of compliance and regulatory landscape pertaining to stocks, options, SWAPS, and OTC derivatives.
  • Excellent knowledge and experience in Equity front office compliance rules and regulatory reporting for stocks, options, SWAPS, such as:
    • 15c3-5, RegSHO, Reg NMS, LULD, ACT, OATS, LOPR, EMIR, CMRS, etc.
  • Good experience managing equity front office compliance and regulatory projects
  • Good understanding of foreign regulations? impact on US market
  • Good inter-person skills and ability to gather compliance requirements and formulate an implementation strategy
  • Experience with Canadian secondary trading regulation a plus
  • Good understanding and experience concerning operation risk and cyber security
  • Strong IT project implementation experience with solid technical background

Looking for someone who knows US equity compliance reporting and how it is or should be handled in trading systems, such as:

  1. OATS
  2. 606 reporting
  3. Bluesheets
  4. ACT reporting
  5. Reg NMS
  6. Reg SHO
  7. 15c3-5
  8. CAT-the new regulatory reporting going live end 2019 early 2020

Associated topics: attorney, attorney corporate, business, company, compliance, corporate attorney, counsel, lawyer, legal affairs, legal department * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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