Communication Compliance Review Officer in New York, NY at TradeStation

Date Posted: 12/24/2021

Job Snapshot

  • Employee Type:
  • Location:
    New York, NY
  • Job Type:
  • Experience:
    Not Specified
  • Date Posted:

Job Description

Communication Compliance Review Officer
New York, NY; Chicago, IL; Plantation, FL
At TradeStation, we believe in empowering our customers to claim their individual financial edge. We are committed to creating a financial ecosystem that is a step ahead by delivering the best technology, services, education, and support to traders and investors. We are continuously pushing the boundaries of what is possible, encouraging out-of-the-box thinking and a relentless search for innovation.
We are a team of amazing people who work together in a high-performance, goal-oriented culture to provide our customers with exceptional products and services. We offer a collaborative and flexible work environment, competitive salaries, comprehensive benefits, and an unlimited PTO policy.
Our TradeStation Securities Compliance department is seeking a highly motivated individual to assist and support the Director Compliance in the implementation of effective operational controls supporting the compliance program for communications, advertising and registrations of the Firm.   You will be responsible for coordinating the compliance strategy for supervisory oversight of external communications, company and employee registrations, understanding FINRA, CFTC, NFA and other governing rules, and providing day to day monitoring of compliance policies and procedures throughout the organization.   You will work closely with other lines of business, and functional groups.   You will also work closely within the compliance department to act as a liaison between trade surveillance, legal and trade reporting. 
  • Assist with the review of marketing and advertising communications for compliance with applicable regulatory requirements
  • Perform ongoing monitoring of business partner activities to ensure consistency with regulatory requirements and applicable firm policies and procedures
  • Assist in the drafting of policies and procedures related to marketing, advertising and registrations
  • Register employees using the FINRA Gateway, and be familiar with FINRA Rules 1210, 1220 and 1240
  • Maintain documentation, tracking and evidence of reviews completed according to established protocol
  • Collaborate with business partners to resolve compliance issues
  • Provide strong compliance support and execution with respect to all ad-hoc projects
  • Additional tasks and duties as assigned
  • Understanding of the regulatory environment with respect to broker/dealers, including FINRA Rule 2210, NFA Rule 2-29, FINRA and CFTC Registration rules
  • General knowledge of FINRA, CFTC, NFA rules for communications and registrations
  • Ability to understand, interpret and communicate rules and regulations
  • Understanding of various asset classes including equities, options, futures and cryptocurrency
  • Strong communication and interpersonal skills
  • Ability to work with colleagues to devise pragmatic and creative solutions
  • Ability to work both independently and collaboratively
  • Aptitude to identify potential regulatory compliance issues or deviations from internal policies and procedures
  • Ability to work with a sense of urgency and diligence
  • Must exhibit the highest standards of integrity and maintain confidentiality
  • Strong abilities in analytical thinking, problem solving, research, and time management
  • Calm demeanor, tolerance for ambiguity, and confidence
  • Undergraduate college degree required
  • 5 years of related work experience
  • Series 7 required; Series 3, 65 and 24 registrations highly preferred
  • Proficiency in Microsoft Office including Outlook, Word, Excel, and PowerPoint
  • Working knowledge of systems used for electronic message reviews is preferred (Global Relay, Smarsh, or High Bond)