Head of Etrading Business Oversight Compliance

Significant understanding of US Laws and Regulations, including SEC 15c3-5, SEC Regulation ATS, and FINRA Rule 5310
Identifying and assessing compliance risks specific to the electronic trading business
Significant understanding of market structure and financial products across asset classes
Ability to understand the technical aspects of trading, including system architecture, trading flow structures, and proper control design and implementation
Providing guidance to senior members of Business, Technology, and Compliance Management on compliance issues
Leading and managing a team

Identification and assessment of compliance risks through thorough reviews of business activities, changes, processes, testing and systems
Identification and investigation of potential market abuse, including but not limited to, Insider Dealing, Unlawful Disclosure, Market Manipulation or Anti-Competitive Conduct
Conduct investigation of compliance risk events or breaches
Oversight and check and challenge of corrective actions and preventative measures to avoid future occurrences
Implementation of compliance policies and procedures in line with regulatory requirements and ensuring that the bank’s internal policies are aligned with international standards, including jurisdictional requirements
Collaboration with 1LOD, other relevant Compliance teams and legal, and relevant risk management functions to facilitate a comprehensive approach to compliance and risk management
Identification, investigation and oversight of potential money laundering, terrorist financing or other financial crime