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Compliance Officer – Options/Equity Trading – 9821
DASH Financial Technologies (part of ION Group) is the leading US options technology and execution provider, offering fully customizable routing and order management solutions to financial institutions as well as complete order routing transparency featuring real-time visualization.
The Role
The Compliance Officer is an integral part of our DASH Compliance team. Compliance professionals facilitate business decisions within a dynamic regulatory environment, solve issues across the organization and its operations, train team members to know and understand the pertinent regulations and how we meet our responsibilities, and are adept at communicating with industry and regulatory professionals, inside and outside the Firm.
This is a unique opportunity to take your career to the next level by digging deep into the rules and regulations governing options and equities along with learning about the products themselves - while working directly with the CCO of Dash.
The estimated salary range is $110,000 - $130,000. Salary is negotiable, depending on experience and skills.
Key Responsibilities
- Support regular compliance testing and monitoring of policies and procedures including: personal trading; outside business activities; gifts and entertainment; registrations and filings; sales practice; and, operations.
- Prepare written policies and procedures and support remediation efforts of compliance.
- Assist in ongoing compliance training of the firm and orientation for new hires.
- Ensure all required regulatory filings are completed on a timely basis and updated as necessary and confirm all associated persons and entities hold appropriate licenses and registrations.
- Ensure all required books and records are properly maintained pursuant to SEC requirements.
- Assist in connection with periodic testing, on-site regulatory examinations and ad-hoc inquiries.
- Work proactively to identify potential problems & compliance issues.
- Will report to and work closely with the company's Chief Compliance Officer as to issues, problems, and sales practice.
Required Skills, Experience and Qualifications
- 3+ years of Compliance experience, ideally, with a Broker-Dealer. Candidates with experience with an Investment Adviser, Compliance Consulting firm, or Bank will also be considered.
- Bachelor's Degree in a related field.
- Experience identifying compliance issues and operational risk concepts.
- Familiarity with SEC rules, FINRA rules, and U.S. equity and options exchange rules.
Preferred Skills and Qualifications
- Strong written and verbal communication skills, a can-do attitude, enthusiasm, and a strong aptitude for learning.
- The ability to effectively prioritize workloads and complete tasks within well-defined guidelines and time constraints is essential.
- Organizational skills and attention to detail are critical given the nature of paperwork, processes, and work, upon which both clients and the Firm depend.
- You are an intelligent, analytical thinker with the ability to draw on a range of resources to ensure a high-quality outcome across the position responsibilities.
- Knowledge of FINRA/SEC compliance and/or supervisory procedures.
- Series 7 registration. If this person does not have, expected to obtain within the first year.
- Ability to collaborate and interact with multiple business structures and the temperament and skill to manage different types of personalities.
- Ability to handle competing priorities, be self-directed and able to manage workload and make decisions.
- Teamwork, excellent communication and analytical skills are essential.
- Proficient in Word, Excel, Outlook, and PowerPoint.
- Regulatory experience.
- Problem solving & decision making.
- Industry knowledge.
- Functional/technical expertise.
- High standards.
- Integrity.
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