Jersey City, NJ
417 days ago
Compliance Officer - Options/Equity Trading - 9821
About Us
DASH Financial Technologies (part of ION Group) is the leading US options technology and execution provider, offering fully customizable routing and order management solutions to financial institutions as well as complete order routing transparency featuring real-time visualization.
The Role
The Compliance Officer is an integral part of our DASH Compliance team. Compliance professionals facilitate business decisions within a dynamic regulatory environment, solve issues across the organization and its operations, train team members to know and understand the pertinent regulations and how we meet our responsibilities, and are adept at communicating with industry and regulatory professionals, inside and outside the Firm.
This is a unique opportunity to take your career to the next level by digging deep into the rules and regulations governing options and equities along with learning about the products themselves - while working directly with the CCO of Dash.
The estimated salary range is $110,000 - $130,000. Salary is negotiable, depending on experience and skills.
Key ResponsibilitiesSupport regular compliance testing and monitoring of policies and procedures including: personal trading; outside business activities; gifts and entertainment; registrations and filings; sales practice; and, operationsPrepare written policies and procedures and support remediation efforts of complianceAssist in ongoing compliance training of the firm and orientation for new hiresEnsure all required regulatory filings are completed on a timely basis and updated as necessary and confirm all associated persons and entities hold appropriate licenses and registrationsEnsure all required books and records and properly maintained pursuant to SEC requirementsAssist in connection with periodic testing, on-site regulatory examinations and ad-hoc inquiriesWork proactively to identify potential problems & compliance issuesWill report to and work closely with the company's Chief Compliance Officer as to issues, problems, and sales practiceRequired Skills, Experience and Qualifications3+ years of Compliance experience, ideally, with a Broker-Dealer. Candidates with experience with an Investment Adviser, Compliance Consulting firm, or Bank will also be considered.Bachelor's Degree in a related field.Experience identifying compliance issues and operational risk concepts.Familiarity with SEC rules, FINRA rules, and U.S. equity and options exchange rulesPreferred Skills and QualificationsStrong written and verbal communication skills, a can-do-attitude, enthusiasm, and a strong aptitude for learning.The ability to effectively prioritize workloads and complete tasks within well-defined guidelines and time constraints is essential.Organizational skills and attention to detail are critical given the nature of paperwork, processes, and work, upon which both clients and the Firm depend.You are an intelligent, analytical thinker with the ability to draw on a range of resources to ensure a high-quality outcome across the position responsibilitiesKnowledge of FINRA/SEC compliance and/or supervisory proceduresSeries 7 registration. If this person does not have, expected to obtain within the first year. Ability to collaborate and interact with multiple business structures and the temperament and skill to manage different types of personalitiesAbility to handle competing priorities, be self-directed and able to manage workload and make decisionsTeamwork, excellent communication and analytical skills are essentialProficient in Word, Excel, Outlook, and PowerPointRegulatory experienceWritten communicationCommunicativenessProblem solving & decision makingIndustry knowledgeFunctional/technical expertiseHigh standardsIntegrityMore About ION Group
We’re a diverse group of visionary innovators who provide trading and workflow automation software, high-value analytics, and strategic consulting to corporations, central banks, financial institutions, and governments. Founded in 1999, we’ve achieved tremendous growth by bringing together some of the best and most successful financial technology companies in the world. Over 2,000 of the world’s leading corporations, including 50% of the Fortune 500 and 30% of the world’s central banks, trust ION solutions to manage their cash, in-house banking, commodity supply chain, trading and risk. Over 800 of the world’s leading banks and broker-dealers use our electronic trading platforms to operate the world’s financial market infrastructure.
ION is a rapidly expanding and dynamic group with 13,000 employees and offices in more than 40 cities around the globe, Our ever-expanding global footprint, cutting edge products, and over 40,000 customers worldwide provide an unparalleled career experience for those who share our vision.
ION is committed to maintaining a supportive and inclusive environment for people with diverse backgrounds and experiences. We respect the varied identities, abilities, cultures, and traditions of the individuals who comprise our organization and recognize the value that different backgrounds and points of view bring to our business. ION adheres to an equal employment opportunity policy that prohibits discriminatory practices or harassment against applicants or employees based on any legally impermissible factor.
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