Imported from previous forum
The successful candidate will be current on regulatory changes and industry practices, and will assess their impact to the firm. You will work on our audit staff performing audits for our clients. Candidate should have some experience in dealing with regulators, answering regulatory inquiries, performing desk audits. Candidate must have the ability to interface with trading personnel, IT, business management, operations, and legal department personnel on implementation of regulatory requirements for continual compliance with rules and regulations. Knowledge of OATS essential since will be responsible for conducting OATs review to ensure proper submissions monitor and repair rejects. Additionally, will investigate abnormalities in OATs reporting and will gather and prepare information in order to respond to inquiries from regulators. Potential to perform OTS and Trace audits also.
Requires:
• 3 - 5 years industry experience at a brokerage firm, service bureau, regulatory body or exchange
• A good working knowledge of SRO rules and regulations
• Experience with Nasdaq and OTC markets and the areas of heightened regulatory scrutiny, such as OATS, TRACE, SEC Rule 5/6, best execution, and trade reporting
• The ability to interface with trading personnel, IT, business management, operations, and legal department personnel on implementation of regulatory requirements for continual compliance with rules and regulations
• Experience with regulators for assisting/responding to exams, written inquiries, and real-time inquiries
• Excellent communication skills, both written and oral
• Written audit reports
• BA or BS degree required
Qualified candidates please forward your resume to Jordan & Jordan at search@jandj.com or call Kathy 212-652-4463.