Associate, Global Markets Supervisor
About The Position
Responsible for the regulatory supervisory and trade surveillance program of US Global Markets (USGM). This role is part of a team that provides sign-off on a variety of items on behalf of senior management of USGM, including representations to regulators as required and internal supervisory documents. The position ensures timely completion of management action plans from risk assessment, internal audit, and regulatory reviews. It is also responsible for the training of desk personnel and the proper communication of Firm policies and procedures. The role involves taking the lead on special projects as required by senior management, disseminating new and existing Standing Orders and ensuring they are communicated and followed accordingly. Additionally, it provides real-time ad-hoc corrective actions and resolutions to trading anomalies consistent with all applicable regulatory laws, rules, and procedures, as well as all applicable Firm policies and procedures. The role supports the USGM on expansion efforts into new products and business lines, stays apprised of and alerts relevant business areas of regulatory rule changes or Firm policy changes, and works with the Supervision team and Business Management teams within USGM to coordinate Volcker related requirements.
Requirements
- BA, MA or equivalent with an understanding of Capital Markets
- Minimum 3 years industry experience
- Knowledge of the US regulatory environment
- SIE, Series 7, 24 (must obtain upon joining)
- Strong written and oral communication skills
- Ability to work in a fast paced environment
Nice To Haves
- Series 57, 63 a plus
Responsibilities
- Responsible for regulatory supervisory and trade surveillance program of US Global Markets (USGM).
- Part of a team that provides sign-off on a variety of items on behalf senior management of USGM, including representations to regulators as required and internal supervisory documents.
- Ensure timely completion of management action plans from risk assessment, internal audit and regulatory reviews.
- Responsible for training of desk personnel and the proper communication of Firm policies and procedures.
- Take the lead on special projects as required by senior management.
- Disseminate new and existing Standing Orders and ensure they are communicated and followed accordingly.
- Provide real-time ad-hoc corrective actions and resolutions to trading anomalies consistent with all applicable regulatory laws, rules and procedures as well as all applicable Firm policies and procedures.
- Support the USGM on expansion efforts into new products and business lines.
- Stay apprised of and alert the relevant business areas of regulatory rule changes or Firm policy changes.
- Work with Supervision team and Business Management teams within USGM to co-ordinate Volcker related requirements.
Benefits
- bonuses
- flexible benefits
- competitive compensation
- commissions
- stock where applicable
- Leaders who support your development through coaching and managing opportunities
- Ability to make a difference and lasting impact
- Work in a dynamic, collaborative, progressive, and high-performing team
- Opportunities to do challenging work
- Opportunities to building close relationships with clients
- 401(k) program with company-matching contributions
- health, dental, vision, life and disability insurance
- paid time-off plan
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Associate degree
