I hope this message finds you well. My client is a broker dealer located in Chicago looking to bring on board a Director Electronic Trading to join their team.
This role is currently in a hybrid schedule (3 days in office / week).
Responsibilities :
- Advise business areas on firm policies and procedures, regulatory requirements and industry best practice.
- Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities.
- Maintain and Oversee the Firm’s Electronic Trading activities
- Assist the business on implementing and documenting various supervisory / control mechanisms.
- Assist the business on drafting, updating, and implement relevant policies and procedures.
- Provide regulatory / compliance training.
- Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections.
- Interact with federal and state regulators
- Perform testing and monitoring of compliance with firm policies for covered business areas
- Conduct compliance risk assessments to ensure effective business control framework
- Analyze new regulations, conduct business-based analysis, and execute requite implementation.
- Provide ongoing reporting to senior management
- Develop and deliver proactive strategies and tactics that support compliance / business objectives
Director Electronic Trading
My client is a broker dealer located in Chicago looking to bring on board a “Director Electronic Trading” to join their team. Maintain and Oversee the Firm’s Electronic Trading activities. ...
Director Electronic Trading
Broker dealer located in Chicago looking to bring on board a “Director Electronic Trading” to join their team. Maintain and Oversee the Firm’s Electronic Trading activities. ...
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