Our domestic and international business development combined with continuous industry regulatory initiatives has increased the number of opportunities available on our Compliance Team. By joining our firm as a Compliance Associate, you will obtain a first-hand look at the trade reporting and compliance responsibilities associated with supporting a dynamic institutional broker dealer. Your role will include post trade surveillance as you review equity and fixed income trading activity to verify that the firm is meeting all of its regulatory requirements. You will analyze exception reports and conduct in-depth trading reviews. This includes daily evaluation of trade reporting and analysis as well as constant collaboration with colleagues throughout the firm, including market makers and sales traders. You will work within the compliance division, primarily supporting the Chief Compliance Officer and Senior Compliance Associates in performing day-to day compliance functions as well as weekly, monthly, quarterly and annual reviews. Moreover, you will have the opportunity to interact with all of the departments in the firm as well as external securities industry professionals as you work to support any regulatory examinations or audits that occur.
In this role, you will:
Conduct an on-line review of daily trading activity to monitor for best execution and front runningEnsure proper trade reporting to OATS and ACTReview operations exception reports and follow up for resolutionResolution of customer account documentationIdentify, track and monitor regulatory developments and analyze the business impactWork with in house technologists or third party vendors to enhance existing or create new policies and procedures to ensure compliance with applicable securities regulations.Assist in regulatory examinationsEnsure books and records are properly maintainedWhat we're looking for
Bachelor's degree in Business Administration strongly preferredZero to two (2) years of equities, fixed income or futures trade support experienceRegulatory or previous compliance / equities trading experience is preferredProficiency with common desktop applicationsSeries 7 license preferred, but will sponsor the associateAbility to prosper in a team environment with shared responsibilities and duties
SIG is not accepting unsolicited resumes from search firms. All resumes submitted by search firms to any employee at SIG via-email, the Internet or directly without a valid written search agreement will be deemed the sole property of SIG, and no fee will be paid in the event the candidate is hired by SIG.