Emerging Markets & FX Compliance Officer
New York, NY 10005 | Permanent
- Provide real-time advisory services to the Emerging Markets business
- Advise the business on how trends and developments may impact their current activities
- Create, implement and maintain policies and procedures.
- Help develop trade surveillance reports
- Conduct compliance risk assessments
- Conduct new hire and annual employee training on the Code of Conduct and Compliance related policies and procedures
- Work closely with other infrastructure areas, such as Legal, Middle Office, AML, CRM and Technology.
- 5-7 years of compliance or regulatory experience, preferably with a federal regulator, self-regulatory organization, or in a trading environment, risk management function
- Familiarity with FX and knowledge of SEC and FINRA regulations
- Minimum of a Bachelors Degree required
- Experience interacting with traders, sales staff and support personnel
- Excellent communication skills (written and oral)
- Must be confident and professional in all dealings with business personnel and senior management.
- Must be able to work independently, with limited supervision and effectively within a team
- Ability to multitask efficiently and effectively and meet tight deadlines