Key responsibilities:
Monitors the firm’s transactions and trade execution quality.
Uses deep expertise to serve as subject matter expert and industry thought leader on the evolving changes in regulations for clients.
Reviews and actions regulatory filings for adherence to external and internal compliance standards.
Leads the development of policies or procedures to implement new surveillance requirements.
Participates in industry forums to help regulators understand the unique structure of a clearing firm with respect to the facilitation of trading needs for its introducing firms with an eye toward helping to shape new regulation and how it applies to our business model.
Leads in the development for design and implementation of organization’s training, ensuring that training provides up-to-date information in a fast-changing environment
Leads a team through day to day execution and across multi-year projects.
Successful Candidate Will Demonstrate/Possess:
Bachelor’s degree or the equivalent combination of education and experience is required
12 + years of total work experience in trading and brokerage preferred
Experience using systems including Bloomberg or Thomson Reuters
Series 7 and 24 essential. 63 and 57 preferred
Subject matter expertise in SEC rule 606 & FINRA rule 5310
Ability to work in a fast-paced environment with attention to detail
Interface with external teams to understand, track, and maintain external dependencies
Manage complexity with an unrelenting focus and prioritization
Be a thoughtful communicator who can express complex ideas in simple, practical terms for a wide range audiences
BNY Mellon is an Equal Employment Opportunity/Affirmative Action Employer. Minorities/Females/Individuals With Disabilities/Protected Veterans.
Our ambition is to build the best global team – one that is representative and inclusive of the diverse talent, clients and communities we work with and serve – and to empower our team to do their best work. We support wellbeing and a balanced life, and offer a range of family-friendly, inclusive employment policies and employee forums.
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