🎁 StoneX (Forex.com) | Director of Compliance


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  • Link: Director of Compliance - Equity Capital Markets from StoneX (Forex.com)

  • Dates: Until December 31, 2021.
  • Job location: NY, USA.
  • Job description: Be responsible for Compliance and Regulatory affairs with primary focus on Equity Capital Market products and trading. Design and enhance the Firm’s supervisory controls for Market Making, Investment Banking, Best Execution and other aspects of Equity Capital Markets trading. SEC, FINRA, state, federal, foreign jurisdiction, and self-regulatory organization rules and regulations to ensure firm policies and procedures comply with appropriate laws, regulations and industry guidance with a focus on primary and secondary on equity activity. Coordinate with Senior Compliance Executive – ECM and CCO in developing and implementing strategies to enhance regulatory compliance and reduce risk. Keep abreast of new rules and regulations and how it affects the Equity Capital Market business activities to ensure firm policies and procedures are up to date. Manage team of personnel, develops strategic compliance initiatives, and directs these initiatives to completion.