VP, Trading Compliance Officer

New York, NY

Brief Description:

This individual will act as the Vice President, Trading Compliance Officer for a global, independent, institutional brokerage and investment-banking firm. The position is based in New York City. The successful candidate for this position will play a senior role in the surveillance and regulatory compliance efforts in U.S. Trading and Institutional Sales and International Transactions. This individual will report to the Senior Trading Compliance Officer, who in turn reports directly to the CCO.

Job Function:

Primary responsibility is to maintain an effective trading compliance program though risk management, monitoring and surveillance of trading and sales activities.   Work closely with International Trading Group, Cash Equities, Options, and Fixed Income Trade Desks, acting as a resource for education and training as well as conducting daily monitoring.  Work with Senior Trading Compliance Officer to maintain current Firm written supervisory procedures and enhance as applicable.   Respond to real-time inquiries from traders, sales persons, technology personnel and management.  Proactively keep Trading and Sales Departments ahead of the regulatory environment.   Ensure that the trade management system is operating effectively and accurately addressing compliance issues. Monitor trading activity through daily review of trading compliance reports, surveillance of employee trading activity and periodic forensic testing.  


Areas of focus:


  • International, OTC, Bulletin Board Trading
  • Institutional Trading & Sales Practices
  • Reg NMS; Limit Order Display/Protection
  • Best Execution; Market Access Rule
  • Rule 605 and 606 Monitoring
  • Fails to Deliver; Reg SHO
  • Regulatory Reporting (ACT, OATS, Large Trader ID)
  • Coordination and Interaction with International Equity Group and   Trading Desks of Foreign Affiliates

Liaison for trading-related FINRA/SEC exams and inquiries



  • BA or BS degree required  
  • Strong verbal and written communication skills communications

ü    Ability to effectively and proactively communicate with persons of any professional level

ü    Ability to understand, synthesize and communicate urgent information

ü    Ability and experience in identifying regulatory issues and management reporting

  • Ability to multi-task and prioritize
  • Ability to take initiative and assume responsibility
  • Strong work ethic and commitment to Firm and Department
  • Series 7 & 24 required; Series 55 registration preferred or within 3 months of employment
  • Equities Trading Compliance experience required.
  • 7+ years compliance experience or equivalent

Contact Details:

Steve Cebel

914-524-0301 ext 126