Senior Compliance Specialist

US-NY-New York
1 month ago
Category
Corporate professionals
Position type
Full-Time

OVERVIEW:

ITG is looking for an outgoing, experienced Compliance Officer to join our Compliance team.

 

 

Investors around the world receive better returns because of the work we do every day. From traders to technologists and everyone in between, ITGers are passionate about innovating, solving problems and making an impact on the bottom line. Our teams set the bar high and strive to consistently provide best-in-class service to institutional investors around the world.

WE'LL TRUST YOU TO:

  • Provide the business with real-time regulatory guidance
  • Conduct on-site branch examinations and control assurance testing
  • Manage operational risk matters
  • Maintain the Firm’s Written Supervisory Procedures and Compliance Policies
  • Enhance the Firm’s front office supervisory processes
  • Create and conduct training
  • Conduct impact assessments of new rule initiatives and regulatory actions for internal benchmarking exercises
  • Assist with regulatory and internal exam management
  • Ensure regulatory reporting is accurate, manage reporting enhancements, and address real-time reporting issues
  • Assist in responding to regulatory inquiries
  • Build and refine existing regulatory reporting surveillance reviews
  • Lead special projects for strategic compliance initiatives

WHAT YOU BRING WITH YOU:

  • Knowledge of Regulatory Reporting Rules, including trade reporting, OATS, Electronic Bluesheets
  • Knowledge of SEC and FINRA Regulations
  • Experience with operational risk management
  • Experience with testing and general examinations
  • Proactive attitude to assist in improving and streamlining the existing program
  • Knowledge of Electronic Trading business
  • Excellent writing skills
  • Ability to multi-task

YOU'RE JUST RIGHT FOR ITG IF YOU WANT:

  • A smaller team environment with 3-10 professionals
  • A great place for upward and geographic mobility
  • Direct exposure to the decision makers and senior leaders on all sides of the business
  • The energetic dynamism of financial markets
  • Teams that are passionate about continually learning, improving and raising the bar
  • A community that values hard work as well as work-life balance
  • A company that is committed to giving back to surrounding communities, from LA to Hong Kong and Sydney and the 11 locations in between

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