• Play role in performing / following-up on day-to-day broker-dealer compliance tasks.
• Evaluate our existing CFTC Dodd Frank platform and propose improvements, including linking in (to the extent practical) to the controls used by other asset classes.
• Assist in the Volcker Rule roll-out and maintenance.
• Stay on top of any securities-based swap dealer regulations proposed / adopted by the SEC and assist in implementing controls around applicable regulations.
• Assist in providing support to the Investment Advisor business including Form ADV updates; Code of Ethics compliance; Board of Managers and Investment Management Committee meetings; quarterly testing and custodian attestations.
• Update of procedures manuals and delivery of training, where necessary.
Minimum Qualifications (Additional criteria that are necessary for performing the essential functions of the job and are used in the selection process; this includes required licences and languages)
• At least 5 years of compliance or operational experience supporting an Equity (preferably derivatives) business unit at a broker-dealer, bank (preferably a U.S. bank) and / or swap dealer.
• Knowledge of relevant SEC and SRO rules and regulation key. Dodd Frank (i.e., CFTC), OCC and / or Investment Adviser Act knowledge are strong pluses.
• Series 7 and / or 24 license preferred but not required.
• Strong issue-spotting / recognition and drafting abilities.
• Ability to decipher/ interpret rule proposals and final rules.
• Experience in coordinating with central compliance areas, and providing metrics and other requested information.
• Ability to interact with the business and critical support areas.
• Ability to work independently, as well as in a team environment.