VP-Compliance Manager

Job ID: 5473
Location: New York, NY
Category: Compliance

Leading financial institution in the financial district is seeking a VP-Compliance Manager with a minimum of 5 years experience at a broker-dealer or regulator.  

This position is part of the Compliance team and reports directly to the CCO. The focus of this role will primarily cover trading activity for muliptle equity and fixed income trading desks. 


  • Review daily trade activity/exception reports related to the activities of the Equity and Fixed Income Trading Desks.
  • Assist in pulling the necessary information for regulatory reviews, audits and other examinations
  • Interact with Regulators and track all regulatory requests.
  • Coordinate regulatory calls and on-site examinations.
  • Review and take action with regard to any regulatory trade reporting issues.
  • Candidate must demonstrate ability to effectively review and analyze complex situations and apply judgment to resolve issues in a timely manner with minimal supervision.
  • Work closely with various internal departments including IT, Operations, Compliance and Legal.
  • Communicate with traders and supervisors to assess risk and remediate issues.
  • Candidate should be proficient in time management and able to initiate and manage projects.  
  • Actively monitor regulatory developments and trends working with Compliance, and taking appropriate action to ensure the business unit complies with new or amended regulations.
  • Interact with technology support and risk management to ensure trading technology and trading practices remain compliant with Firm policies and industry regulation.
  • Ability to convey Compliance requirements and Business changes to Senior Management.


Knowledge of fixed income, treasury, and equities markets regulations including but not limited to TRACE, RTRS, OATS, ORF, TRF, ACT, Reg SHO, Reg NMS, Best Execution, Rule 605, Rule 606, Limit Order Display, Net Trading, FINRA Firm Gateway, etc.

Minimum 5 experience at a broker-dealer or regulator preferred

Fidessa experience preferred, but not required

Series 7, 55, 57, 63, 24 preferred, but not required

Excellent organizational and communication skills


Salary 150-180K depending on experience (with discretionary bonus).  

Please send your resume to Greg Breck