• Compliance, Federation Compliance, Americas Non-Financial Regulatory Reporting, Vice President

    Location(s) US-NY-New York
    Job ID
    Schedule Type
    Full Time
    Vice President/Executive Director
    Business Unit
    Federation Compliance
    Employment Type


    Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. 



    Federation Compliance provides compliance coverage to the Operations, Technology, Finance, Risk, Services and Human Capital Management divisions (“the Federation”).  This role will specialize in coverage of Americas non-financial regulatory reporting requirements (e.g., FINRA Electronic Bluesheets, OATS, MSRB, Short Interest reporting) This role includes:

    • Conducting risk identification, measurement and assessment for certain FINRA and SEC non-financial regulatory reporting requirements
    • Implementation of new non-financial regulatory reporting requirements (e.g., Consolidated Audit Trail (CAT))
    • Monitoring for compliance with laws, rules, regulations and policies, including the identification and investigation of conduct related issues
    • Participating in firm responses to regulatory examinations, audits and inquiries related to regulatory reporting
    • Writing policies and procedures
    • Communicating regulatory requirements and firm policy expectations to educate others both one-on-one and through compliance learning initiatives



    As part of the Americas Federation Compliance, you will cover the Federation groups located in the Americas office locations (New York/New Jersey, Salt Lake City, Dallas), with primary responsibility for compliance coverage of FINRA and SEC non-financial regulatory reporting requirements (e.g., FINRA Electronic Bluesheets, OATS, MSRB, Short Interest reporting).  You will also participate in region-wide and global initiatives to enact the Global Compliance mandate and Business Unit priorities.  To fulfill this role and responsibilities, you will:

    • Advise, challenge and influence the Federation on regulations, policies and reputational risk, with specific focus on the firm’s non-financial regulatory reporting obligations
    • Identify, investigate and manage compliance issues involving the Federation
    • Analyze regulatory changes and enforcement actions to assess the impact to the Federation, and participate in work to ensure the business is able to support new requirements
    • Review surveillance alerts and conduct forensic reviews to monitor the Federation’s compliance with regulations and firm policies
    • Recommend compliance testing work to be performed for the Federation
    • Draft and assist in the implementation of policies and procedures
    • Develop and deliver communication and compliance learning to the Federation


    A strong candidate for Federation Compliance will satisfy the following criteria:

    • Bachelor’s degree; advanced degree in relevant field (e.g., J.D., LL.M., M.B.A.) is a plus but not required
    • At least five years of work experience as a compliance officer or in a risk management role focused on regulatory reporting requirements
    • Knowledge of operational practices in securities markets and experience with FINRA and SEC non-financial regulatory reporting (e.g., FINRA Electronic Bluesheets, OATS, MSRB, Short Interest reporting)
    • Knowledge of regulations, practices and markets infrastructure in the U.S., including an understanding of key U.S. regulations (e.g., SEC, FINRA, CFTC, FRB)
    • Experience interacting with regulators, or supporting regulatory audits or inquiries

    A strong candidate for Federation Compliance will possess the following skills:

    • Clear, concise communications skills; able to communicate with impact at senior levels
    • Able and willing to challenge; comfortable with inter-personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk manager
    • Work independently. Exercise sound judgment, ethics and integrity
    • Fast learner; able to adapt to business and regulatory changes; interest to challenge status quo and find new solutions
    • Well organized with the ability to manage both longer term projects and daily, often time-sensitive, escalations
    • Proficient in using technology; able to analyze data sets and summarize findings; comfortable learning new technologies, both as a user and to identify risks
    • Team-oriented and supportive of others’ success; comfortable representing a team work product to stakeholders



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