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Compliance Associate Electronic Trading Compliance
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- The candidate will report to the Head of Electronic Trading Compliance and focus on compliance with trading and market regulations, including Market Access, Order Routing, and Best Execution.
- Work with colleagues in Compliance, Legal, Business, Development, and other teams across the firm to ensure compliance with rules and regulatory guidance related to trading and markets, including but not limited to Market Access; Reg NMS; Reg ATS; Rule 606; Exchange Rules; Best Execution; Smart Routing; Algorithmic Trading; Order Routing and Payment for Order Flow Disclosures.
- Interacting directly with regulators on trading and markets issues, including SEC, FINRA, CFTC, CME, NFA, state and foreign regulators
- Crafting detailed written specifications for developers and technology staff to enhance internal controls in response to new regulations and the launching of new business lines
- 2-5 years experience with a broker-dealer or FCM, an exchange, the SEC, FINRA, CFTC, NFA, or a law firm in compliance, risk, technology, audit, or other related areas.
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