This job description is intended to describe the general requirements for the position. It is not a complete statement of duties, responsibilities or requirements of the role. Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business.
Director, Electronic Trading Compliance Officer, U.S.
Seeking an experienced compliance officer to join our team as the new Director, Electronic Trading Compliance Officer. In this role, the compliance officer will be responsible for ensuring compliance with all relevant U.S. regulatory requirements for electronic and algorithmic trading, including FINRA and SEC rules and regulations.
Responsibilities:
- Ensure compliance with relevant regulations, laws, and policies on electronic and algorithmic trading for our fixed income and foreign exchange businesses.
- Review new algorithms and material changes to existing algorithms from a compliance perspective.
- Build relationships and support the front office to ensure that electronic trading and algorithmic trading is executed in compliance with regulatory requirements and internal policies.
- Develop, draft, implement, and advise internal stakeholders on regulatory requirements and internal policies.
- Help to resolve queries from the business with regards to eTrading.
- Review market abuse alerts related to eTrading business.
- Represent the 2LOD on global committees.
- Contribute to compliance risk assessments.
- Investigate and resolve compliance issues and escalate as necessary.
- Monitor and understand changes to regulatory requirements and make necessary updates to internal policies and procedures.
- Interface with regulatory bodies and respond to regulatory inquiries upon request.
Requirements:
- 10 years of experience in compliance advisory.
- Strong knowledge of U.S. regulations, including FINRA and SEC rules and regulations related to electronic and algorithmic trading.
- Solid understanding of trading platforms and processes.
- Intellectually curious.
- Stellar interpersonal skills.
- Excellent communication skills (both written and verbal).
- Strong attention to detail.
- Highly organized.
- Ability to drive projects and resolve issues.
- Series 14 or 7 and 24 preferred, but not required.
- Experience with Fixed Income products.
The expected base annual salary range for this position is $250,000 - $280,000 at the start of employment. This is not a guarantee of compensation. The exact compensation is determined on an individualized basis and may vary based on skills, experience, training licensure, certifications and location. In addition to base salary, our total rewards package also includes eligibility for an annual discretionary bonus; medical, dental, and vision plans; life and disability insurance; employee wellness programs; retirement and savings plans with potential employer contributions; generous paid time off policy, parental leave and tuition reimbursement.
It is the policy of NatWest Markets Securities Inc. and its parent, affiliates and/or subsidiaries to provide equal employment and advancement opportunities to all colleagues and applicants for employment without regard to race, color, ethnicity, religion, gender, sex, pregnancy/childbirth, age, national origin, sexual orientation, gender identity or expression, disability or perceived disability, genetic information, citizenship, veteran or military status, marital or domestic partner status, or any other category protected by federal, state and/or local laws. Equal Opportunity Employer - Disabled/Veteran – review "EEO Is The Law", "EEO is the law- Supplement" & "Pay Transparency Provision" posters here.
