p>Ensure the Firm meets its obligations pursuant to key regulations related to equities trading, including but not limited to, electronic and algorithmic trading, Reg ATS, REG NMS, Market Access, Regulatory Reporting (CAT, TRF, Rules 605 and 606), Order Routing and Best Execution; Manage and respond to regulatory examinations, investigations, and inquiries related to the firm's equities businesses;
Ensure timely filing of regulatory reports and updates to Forms ATS-N and ATS-R and respond to any regulatory inquiries;
Work collaboratively with cross-functional teams as needed (e.g., Legal, Compliance, Client On-Boarding, Risk, AML Office, Marketing, and Information Security);
Conduct periodic assessments and other reviews to identify and remediate potential gaps;
Draft and revise policies, WSPs, and controls as needed;
Operate and execute specific controls owned by the Compliance Function;
Provide accurate and timely advice to the Business and other functions, including inquiries and escalations from various trading and operations staff;
Develop and enhance supervisory reports as needed;
Analyze rule proposals and amendments to assess business impact and ensure proper implementation of any final rules;
Review and advise on new business initiatives;
Conduct periodic training;
Identification of risks and risk mitigation solutions; and.
Essential:
In-depth knowledge of Reg ATS, Reg NMS, and Regulatory Reporting Requirements related to equities trading (e.g., CAT, TRF);
5-10 years of experience supporting equities compliance at a broker-dealer;
College degree required, and.