Director, Compliance Director, Compliance …

Tradestation Group Incorporated
à Wilton Manors, FL, États-Unis
CDI, Plein-temps
Dernière candidature, 09 août 20
Competitive
Tradestation Group Incorporated
à Wilton Manors, FL, États-Unis
CDI, Plein-temps
Dernière candidature, 09 août 20
Competitive
Director, Compliance
This site uses cookies. To find out more, see our This site uses cookies. To find out more, see our Cookies Policy Director, Compliance in Plantation, FL at TradeStation Date Posted: 24/6/2020 Job Snapshot
  • Employee Type:
    Full-Time
  • Location:
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:
    24/6/2020
Job Description Director of Compliance Plantation, FL TradeStation is an on-line brokerage firm seeking to level the playing field for self-directed investors and traders, empowering them to claim their individual financial edge. At TradeStation, we're continuously pushing the boundaries of what's possible, encouraging out-of-the-box thinking and relentless search for innovation. We offer a collaborative and flexible work environment, competitive salaries, comprehensive benefits and an unlimited PTO policy. We are currently seeking a Director of Compliance, who will act as the primary regulatory contact for SRO and exchange audits and regulatory reviews. The Director will also oversee the day to day operations of responding to regulatory requests and examinations. The candidate will have hands-on knowledge and ability concerning advanced compliance and risk-management requirements relating to the all lines of business, creation and follow-through of appropriate supervisory structure and WSPs. ESSENTIAL JOB FUNCTIONS
  • Build, develop, and maintain relationships with business partners and our regulators
  • Responsible for the organizations overall compliance in accordance with applicable laws and regulations, and the business policies and procedures
  • Monitor and assess compliance by the organization, and individuals acting on its behalf, with the industry rules and applicable laws
  • Work across multiple asset classes and collaboratively with the Compliance department
  • Appropriately assess risk when business decisions are made through careful consideration for the organizations reputation and the safeguarding of clients and assets; by driving compliance with applicable laws, rules and regulations; adhering to Policy; applying sound ethical judgment regarding personal behavior, conduct and business practices; and escalating, managing and reporting control issues with transparency
KNOWLEDGE, SKILLS & ABILITIES :
  • Significant experience with federal securities and commodities regulations along with industry rules, interpretations and best practices
  • Familiarity with Governance Risk and Compliance (GRC) software to manage risk and control documentation
  • Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
  • Excellent research and analytical skills in addition to a technical aptitude
  • Excellent written and verbal communication skills
EDUCATION & EXPERIENCE
  • Bachelors Degree from a four-year college/university or equivalent work experience
  • 4-6 years of experience in a Compliance department or experience with a federal regulator or SRO
  • Series 7, 3, 24 required or must be obtained in the first 90 days
  • Investment Advisor and/or insurance experience is highly desired

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