Institutional Broker-Dealer Compliance Officer

JonesTrading Institutional Services LLC is a broker-dealer headquartered in Westlake Village, California (Los Angeles area) specializing in executing block transactions for institutional accounts.  This is an outstanding opportunity to join a great company.  This position will report to the Chief Compliance Officer.

 

Responsibilities will include updating and developing compliance policies and procedures for institutional trading, interpreting regulations for the trading and settlement departments, handling regulatory exams and inquiries, reviewing registrations, answering general trader inquiries and conducting branch audits.

 

Qualifications:  Bachelors Degree (Masters and or JD a plus but not required).Institutional broker-dealer compliance experience with equities and/or fixed-income is preferred.Strong understanding of SEC and FINRA rules and regulations, particularly Reg NMS.Strong knowledge of FINRA and Nasdaq systems including TRACE, ACT Workstation, OATS and CRD.Experience interacting with various regulatory bodies such as FINRA and the SEC.Strong communication skills.Ability to work independently.Ability to work with Senior Management and make time sensitive decisions.Proficient computer skills.Series 4, 7, 63, 24, and 55 or the ability to complete these exams in a short period of time.

 

For consideration, please submit resume and salary history/requirements to: JonesTrading, Human Resources, 32133 Lindero Canyon Road. Suite 208 Westlake Village, CA, 91361 or email to ComplianceJob@jonestrading.com   No phone calls please.  EOE.