Compliance Expert for Capital Markets

3 weeks ago


New York, New York, United States Wedbush Securities Full time
About Wedbush Securities

Wedbush Securities is a leading securities firm and investment bank in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Our commitment to providing relentless, customized service is the foundation of our consistent growth.

Job Title: Vice President, Capital Markets Compliance Officer

This role will act in an advisory capacity to the Wedbush Capital Markets activities including equity market making sales, trading, research, syndicate and investment banking activities. The successful candidate will create and update the Capital Markets policies and carry out regular testing of the Capital Markets supervisors' work product.

Key Responsibilities:
  • Design and execute regulatory compliance testing for Capital Markets business
  • Test compliance with policies and standards and identify key risk control gaps and deficiencies
  • Work with the business supervision team to ensure all applicable rules and products are identified
  • Assist in monitoring the Capital Markets Division's compliance with SEC, FINRA and other regulations
  • Keep up-to-date on changes in federal and state compliance laws and regulations impacting the group
Requirements:
  • Bachelor's Degree from an accredited university
  • Extensive knowledge in equity and fixed income institutional trading, investment banking, and research activities
  • 10+ years of related experience in a broker/dealer operations and/or compliance position
  • Understanding of FINRA, SEC and other regulatory requirements around trading and market making activities
Benefits:
  • Comprehensive medical, dental, and vision coverage with multiple health plan options
  • Health Savings Account (HSA) with company-sponsored contributions
  • Flexible Spending Accounts (FSA) traditional and dependent care
  • Pre-Tax Commuter Benefits
  • Tuition reimbursement ($5,250 max per year)


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