Title: Broker Dealer Compliance Officer
Classification: Exempt – Full Time
Location: New York NY, Charleston SC, or Thousand Oaks CA
Job description: JonesTrading Institutional Services LLC, an institutional broker-dealer, is seeking a Compliance Specialist that will be responsible for broad-based compliance coverage supporting nearly all aspects of the firm’s businesses. The role will support our institutional trading and sales, equity research, investment banking, electronic trading, and prime services divisions. Additional responsibilities may include providing compliance support to the Company's Canadian based subsidiary. This is an outstanding opportunity to join a great company within a highly experienced department. This is a highly visible role with a great opportunity to grow in your career.
Responsibilities:
· Updating and developing compliance policies and procedures for institutional trading.
· Managing trading and operational compliance
· Handling regulatory exams and inquiries
· Reviewing electronic correspondence and firm’s marketing material
· Review employee trading, registrations, private securities transactions, and outside business activities
· Equity and Options transactional trade reporting
· Trading desk liaison
· Continuing education management
· Regulatory Reporting Management (CAT/606)
· Managing the surveillance program for the firm
· Restricted 144 and Legal Sales
· Best Execution Committee Manager
· Wall crossing chaperoning and restricted list management
- Interacting with various regulatory bodies such as FINRA and the SEC
- Review of AML, KYC, and CIP issues
- Complete clients AML/KYC annual questionnaires
· Branch and department audits
· Assist with onboarding of new clients
· Control room management
Qualifications:
- Bachelor’s Degree with advanced degree preferred
- 5+ years of broker dealer compliance experience required.
- Institutional broker-dealer experience preferred
- Series 7, 63 and 57. Requirements for additional qualifications may be necessary based on responsibilities
- CAT, CAIS and 606 Reporting experience
- Strong knowledge of securities industry rules and regulations
- Ability to work with Senior Management and make time sensitive decisions
- Strong knowledge of FINRA and Nasdaq systems including ACT Workstation, CAT, Gateway, TRACE and CRD
- Working knowledge with FlexTrade and other OMS/EMS platforms
- Proficient in MS Word and Excel
- Organizational awareness with an understanding of how to engage the organization to get things done
- Strong problem-solving skills; comfortable tackling complex problems and breaking these down into manageable pieces
- Superior multi-tasking skills and the ability to work in a fast-paced, often deadline oriented, and dynamic environment
- Conceptual and practical thinking and implementation skills
- Excellent communication skills
Salary / Compensation Range
- $85k-$150k, plus discretionary annual bonus.
Office Location(s)
- New York, NY, Charleston, SC, or Thousand Oaks, CA
- Other Company offices and or remote/hybrid schedules may also be considered.
JonesTrading Institutional Services LLC (the “Company”) is an Equal Employment Opportunity (EEO) employer. This means that the Company provides equal opportunity in all aspects of the employer-employee relationship, including recruiting, hiring, promotion, conditions and privileges of employment, training, compensation, benefits, transfers, discipline, and termination of employment, and seeks to prevent any prohibited discrimination or harassment based upon any classification or status protected by applicable law (which can include race, color, gender, age, sexual orientation, gender identification, religion, national origin or ancestry, citizenship, veteran status, marital status, physical or mental disability, pregnancy, genetic information and other factors protected by law).
