Greenwich, CT30+ days ago
Experience with Equity Sales, Trading, and Capital Markets relevant regulations including order handling, execution, and trade reporting requirements (i.e. Reg SHO, NMS, CAT, Rule 606, etc.) and capital markets requirements (i.e. Reg M, FINRA rules 5130/5131, etc.).Proficient with trade surveillance systems, Microsoft Office Suite, and data analytics toolsApplied practical experience working with large equities trading data sets, data management systems and equities trading infrastructureStrong communication and interpersonal skills with the ability to interact and collaborate effectively across departments in a professional manner in a variety of situations. We are currently seeking a Trading Supervisory Risk Control Manager to join our Equity Sales and Trading team in New York, NY and Greenwich, CT.Trading Supervisory Risk Control Manager is responsible for executing compliance risk control analysis, data management and solutions for supervision within the equities sales and trading business line.