Equities Compliance Manager

Company Name:
Open Systems Technologies
The ideal candidate will have extensive regulatory experience and understanding of rules affecting US registered broker/dealers active in equities markets.
The role will primarily encompass issues and features regarding US equity markets but will also expand to include compliance issues across global equities and cross-asset classes.
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.
5-15 years of experience in a compliance role or trading desk supervisor in equities at a US broker/dealer, or at a US 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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