Monitor new regulatory mandates, rules, & requirements. Develop/maintain written supervisory procedures. Serve as POC with regulators, auditors, & attorneys.
Requirements: Bachelor's in economics, finance, business administration, or related field + 2 years legal or compliance experience within retail financial services business. Experience analyzing/interpreting complex legal/regulatory documents & developing effective compliance controls/monitoring routines. Experience with compliance procedures, due diligence processes, counterparty risk assessment, background checks, internal policy analysis, branch inspections, communications monitoring, & trade surveillance. Proficiency with asset class/compliance aspects pertaining to equity/fixed income securities, mutual funds & ETFs, & alternative investments. Experience in trade activity monitoring including insider trading, spoofing, & marking the close. Experience reviewing market activity with focus on RegSHO. Proficiency with AML regulatory framework, e.g., BSA, FinCEN (314a/b) & SAR; FINRA guidelines pertaining to advertising/marketing review.
Contact: BTG Pactual US Capital LLC, [email protected].
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