Compliance Product Manager, Great Neck, NY Back>>

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Compliance Product Manager

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Looking for an experienced sell-side equities Compliance Product Manager.  The ideal candidate will have extensive regulatory experience and understanding of rules affecting U.S. registered broker/dealers active in equities markets.  The role will primarily encompass issues and features regarding U.S. equity markets but will also expand to include compliance issues across global equities and cross-asset classes.


-Daily engagement with industry groups and regulators to understand developments affecting new rules, ongoing regulatory initiatives, and updates to existing rules.
-Advise the business, product team and development regarding relevant rules and requirements, key changes that must be made, and implementation timelines.
-Write requirements for system compliance functionality and reports; combine feedback from industry, regulators and customers and communicate with product and development.
-Design and update compliance reports and related specifications that will be used by customers for books and records and specific regulatory requirements.
-Interface with customer compliance personnel, traders, and management to discuss rules, system functionality and application to equities trading.
-Resolve customer and product questions and issues using key industry and regulatory contacts to ascertain specific interpretations or advice regarding existing rules.


-5-15 years of experience in a compliance role or trading desk supervisor in equities at a U.S. broker/dealer, or at a U.S. equity market regulator; expertise with equities market making, agency trading, and issues in electronic trading generally.
-Strong written and verbal communication skills are essential.  Must be able to clearly translate complex system functionality and regulatory topics clearly and succinctly.
-Strong interpersonal skills; ability to work with people across job functions and handle varied work styles and communication preferences.
-Strong presentation skills.  Ability to summarize complex topics and communicate to an audience.
-Comfortable working with data, reviewing, constructing and interpreting reports; experience interpreting trade data in the context of a regulatory review.
-Must be comfortable with technology and be able to learn new systems and processes; familiarity with data structures and SQL or other query based languages is a benefit.
-Experience with non-US equities and non-equities products (foreign exchange, fixed income, options) is a benefit but not required.

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