BMO Harris - New York, NY
posted about 1 month ago
The US Capital Markets Compliance Team is seeking an Equities Compliance Director with primary accountability for the Firm's Cash Equities Electronic Trading businesses, across two U.S. broker-dealers. The role will include accountability for compliance advisory services, design and execution of surveillance activities, and implementation of additional risk mitigating controls pertaining to the Firm's Cash Equities Electronic Trading businesses. The role requires deep expertise of the rules and regulations related to the U.S. Cash Equities markets, including FINRA, SEC, SRO rules and market access regulations. You will provide advice to the line of business including but not limited to sales, trading, and algorithmic development teams regarding rules and regulations. You will also maintain subject matter expertise including but not limited to the Market Access Rule as well as guidance in the equities, electronic trading, algorithmic trading strategies, and direct market access space.