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Compliance Product Manager, Sell-side OMS

Company Name:
Arca24.com
Start date: ASAP
Minimum salary: 100000.00 USD
Maximum salary: 160000.00 USD
Salary period: Annual
Additional classifications: Sales
Keywords:
Great Neck NY Jobs, Compliance Product Manager Sell-side OMS, Regulatory Experience, U.S. Broker/Dealer, U.S. Equity Market Regulator, New York Recruiters, Information Technology Jobs, IT Jobs, New York Recruiting
Summary:
Looking for an experienced sell-side equities Compliance Product Manager. The ideal candidate will have extensive regulatory experience and understanding of rules affecting U.S. registered broker/dealers active in equities markets. The role will primarily encompass issues and features regarding U.S. equity markets but will also expand to include compliance issues across global equities and cross-asset classes.
Responsibilities:
-Daily engagement with industry groups and regulators to understand developments affecting new rules, ongoing regulatory initiatives, and updates to existing rules.
-Advise the business, product team and development regarding relevant rules and requirements, key changes that must be made, and implementation timelines.
-Write requirements for system compliance functionality and reports; combine feedback from industry, regulators and customers and communicate with product and development.
-Design and update compliance reports and related specifications that will be used by customers for books and records and specific regulatory requirements.
-Interface with customer compliance personnel, traders, and management to discuss rules, system functionality and application to equities trading.
-Resolve customer and product questions and issues using key industry and regulatory contacts to ascertain specific interpretations or advice regarding existing rules.
Qualifications:
-5-15 years of experience in a compliance role or trading desk supervisor in equities at a U.S. broker/dealer, or at a U.S. equity market regulator; expertise with equities market making, agency trading, and issues in electronic trading generally.
-Strong written and verbal communication skills are essential. Must be able to clearly translate complex system functionality and regulatory topics clearly and succinctly.
-Strong interpersonal skills; ability to work with people across job functions and handle varied work styles and communication preferences.
-Strong presentation skills. Ability to summarize complex topics and communicate to an audience.
-Comfortable working with data, reviewing, constructing and interpreting reports; experience interpreting trade data in the context of a regulatory review.
-Must be comfortable with technology and be able to learn new systems and processes; familiarity with data structures and SQL or other query based languages is a benefit.
-Experience with non-US equities and non-equities products (foreign exchange, Fixed Income, options) is a benefit but not required.

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