Senior Clearing Compliance Officer - (US-NJ-Jersey City - 07399)

Compensation: $200K - $200K / Year
Minimum Education: Bachelors
Job Type: Full Time
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Provide senior level compliance and legal support to the firm's clearing business, stock loan business and operations departments. Review and negotiate contracts and agreements in connection with self-clearing business. Work with management to formulate, develop and implement supervisory, surveillance and control procedures, systems and audits to cover the above business lines Work with risk and credit departments to ensure that appropriate controls are in place to monitor risk and credit exposure. Follow-up and seek resolution of issues identified through the firm's supervisory and surveillance process.

Essential Experience and Skills Required in the following areas:
Broker Dealer Regulation
Clearing operations
Stock Lending
Prime Brokerage
Bank Loan, Clearing and Stock Loan Agreements
Institutional Brokerage operations
DVP/RVP
FINRA and NYSE operational rules and regulations
Designing effective compliance policies and an effective compliance program

Required Competencies:
Candidate must possess a strong knowledge of industry regulation relating to self clearing, operations and stock loan. Will need to have experience in reviewing and negotiating legal documents and agreements associated with these broker-dealer operations. Must have strong verbal and written communication skills as well as organizational and interpersonal skills. Self motivated with the ability to work independently. Must have strong leadership and managerial skills and possess the ability to lead a team providing appropriate coaching and timely feedback. Must possess a superior understanding of NYSE, FINRA and SEC regulatory structure.

Required Education & Experience:
7-10 years legal and compliance experience with compliance operations experience through a regulator or compliance department of a financial services firm. Extensive knowledge of applicable rules and regulations relating to the operations of institutional brokerage and trading firm.
JD with Series 7 & 24 licenses preferred


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