Director of Compliance, US
We have a current opportunity for a Director of Compliance, US on a permanent basis. The position will be based in Princeton. For further information about this position please apply. Position: Director of Compliance About the Role: As the Regional Compliance Officer, you will have the opportunity to thrive in a challenging environment, fostering both learning and growth. Reporting to and supporting the Head of Compliance Management for overseas operations, you will play a crucial role in developing and maintaining a robust global compliance framework. This role will involve navigating complex global challenges within a dynamic regulatory landscape and close collaboration with the HQ compliance team, especially the Center of Expertise (COE) team. Responsibilities: Laws and Regulations Monitoring: Stay vigilant in monitoring local legal and regulatory changes that impact the company's business. Collaborate with the COE to identify compliance risks, including areas such as trade secret protection, data privacy, export control and sanctions, anti-bribery, anti-corruption, conflict of interest, and antitrust and countervailing practices. Risk Assessment: Conduct local compliance risk assessments, identify key compliance risks, develop corresponding action plans, and communicate effectively with local management and the COE. Policy and Process: Customize compliance policies and Standard Operating Procedures (SOPs) to align with local business requirements. Conduct gap analyses to ensure compliance with local policies and SOPs. Training: Collaborate with the COE to create compliance training materials and deliver compliance training to the local team. Compliance Advisory: Offer guidance on day-to-day compliance matters and address queries in line with compliance policies and SOPs. Compliance Operation: Participate on behalf of the compliance team in local management and site operation committees. Compliance Responses: Serve as the primary point of contact for the compliance team when communicating with local regulatory agencies and other stakeholders involved in compliance incidents. Investigation: Support local investigations per the direction of the line manager. Assist the Head of Compliance Management for Overseas: Assist in other duties as designated by the Head of Compliance Management for Overseas and other global compliance team members. Requirements: Bachelor's Degree or higher education. A minimum of 10 years of experience in compliance and risk management. Practical experience in building a compliance system from the ground up. Strong business acumen and the ability to formulate compliance strategies that align with business objectives. Exceptional interpersonal skills with the capacity to establish partnerships and relationships both within the organization and with key external stakeholders. Proven crisis management skills, including the ability to mobilize, lead, and prioritize effectively in response to escalated incidents. Excellent written and verbal communication skills, including the ability to prepare and deliver presentations and communicate with senior and executive management. Dedication, self-motivation, transparency, and openness. Ability to work independently and as part of a team. Preferred: A graduate or JD degree is a plus but not mandatory. The ability to interpret regulations and analyze their impacts is a plus but not mandatory. Experience in the biotech or biomanufacturing sector is a plus but not mandatory. Prior experience in a global working environment is a plus but not mandatory.
Negotiable
Princeton
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Market Surveillance Officer
We have a current opportunity for a Market Surveillance Officer on a permanent basis. The position will be based in Chicago. For further information about this position please apply. Position: Market Surveillance and Supervision Analyst Department: Risk Department, Market Surveillance and Supervision (MSS) Position Summary: Hybrid: 3x week onsite The Market Surveillance and Supervision (MSS) department, situated within the Risk Department, plays a critical role in overseeing the sales and trading practices of our firm and its customers across all markets served. As Principals of the firm, the MSS team is responsible for managing, executing, and diagnosing potential issues in essential US Regulatory Reporting. Our department operates within a culture and framework of compliance and risk awareness, with the primary goal of safeguarding the firm's integrity, thereby maintaining the trust and confidence of all stakeholders, including clients, regulators, and shareholders. Job Responsibilities: Conduct daily regulatory surveillance reviews, utilizing Nasdaq Trade Surveillance - SMARTS. File and review regulatory reporting, including Large Option Position Reports (LOPR), Consolidated Audit Trail (CAT), Electronic Blue Sheets (EBS), Short Interest, etc. Document, review, and approve new account documentation for Securities, Options, and Futures/Commodities. Review all sales correspondence, such as advertising and sales literature. Review communications, including email and instant messaging. Collaborate closely with the Compliance team to respond to regulatory inquiries. Stay current with industry regulations and potential changes to regulatory rules. Collaborate with IT, Operations, and management to enhance efficiencies through automation, the development of new processes, or modification of existing processes. Job Requirements: A Bachelor's degree in a related field is required. A minimum of five years of experience in Compliance, Regulatory, Supervisory, or as a Registered Representative/principal role with a Broker/Dealer. Experience in the futures, equities, and options marketplace, along with a deep understanding of its microstructure. Familiarity with the mechanics of a clearing organization. Proficiency in Industry Rules and Regulations, including Reg SHO, CAT, LOPR. Experience in creating and calibrating surveillance reports and systems, with knowledge of SMARTS/NTS. Strong multitasking abilities and the capability to set priorities in a fast-paced environment. Exceptional analytical skills. Series 7, Series 24, and Series 3 certifications are preferred. This position is pivotal in ensuring that our market practices adhere to regulations, upholding our commitment to compliance, and protecting the trust and confidence of our stakeholders.
Negotiable
Chicago
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