I hope this message finds you well. My client is a broker dealer located in Chicago looking to bring on board a "Director Electronic Trading" to join their team. This role is currently in a hybrid schedule (3 days in office / week).
Responsibilities: • Advise business areas on firm policies and procedures, regulatory requirements and industry best practice. • Identify regulatory trends and developments that impact business areas, and advise staff as to how this may impact their current activities. • Maintain and Oversee the Firm's Electronic Trading activities • Assist the business on implementing and documenting various supervisory/control mechanisms. • Assist the business on drafting, updating, and implement relevant policies and procedures. • Provide regulatory/compliance training. • Participate in internal investigations, respond to regulatory inquiries, and coordinate internal and external audits and inspections. • Interact with federal and state regulators • Perform testing and monitoring of compliance with firm policies for covered business areas • Conduct compliance risk assessments to ensure effective business control framework • Analyze new regulations, conduct business-based analysis, and execute requite implementation. • Provide ongoing reporting to senior management • Develop and deliver proactive strategies and tactics that support compliance/business objectives