Director/Senior Manager, Prime Services Risk And Control

New York, NY


  • Experience in developing and maintaining written procedures that define the supervisory process the firm implements to comply with the Securities rules and regulations.  
  • Experience in tailoring written supervisory procedures to the firm, its products, offices and supervisory personnel  
  • Strong written and verbal communication skills, ability to guide decision making process and facilitate consensus  
  • Experience (3-5) years in drafting and updating procedural documents, e.g., Policy documents, Trading manuals, Standard Operating procedures, etc.  
  • Ability to network, collaborate, and interview Traders, Supervisors and other stakeholders to attain necessary information for drafting written supervisory procedures (“WSPs”)  
  • Effectively resolve differences in professional opinion encounters  
  • Knowledge of trading process, trading expertise to effectively interpret input from Traders and Subject Matter Experts (“SMEs”)   
  • Past experience of working with FINRA regulations and familiarity with latest laws  
  • Ability to perform impact assessment within and across WSPs based on changes and updated to a document in revision

Contact Details:

Kristjano Dardha

Direct: 914-595-5754