Director, Compliance and Regulatory Reporting in Plantation, FL at TradeStation

Date Posted: 2/15/2021

Job Snapshot

Job Description

Director, Compliance and Regulatory Reporting
Plantation, FL or Remote
#WeAreTradeStation
TradeStation is an online brokerage firm seeking to level the playing field for self-directed investors and traders, empowering them to claim their individual financial edge.  We have built a team of amazing people who work together in a high-performance culture to provide our clients with exceptional products and services.  We offer a collaborative and flexible work environment, competitive salaries, comprehensive benefits and an unlimited PTO policy.
We are seeking a motivated, experienced individual to join our firm as the Director of Compliance and Regulatory Reporting.  As part of our Compliance team, you will be responsible for interpreting reporting regulations, understanding trading and settlement scenarios, analyzing data across multiple systems, and designing solutions to help the firm meet its regulatory reporting obligations. You must be familiar with trading technology, back office processes related to clearing and settlement, and U.S. regulatory reporting systems and scenarios.
ESSENTIAL JOB FUNCTIONS:
  • Maintain a roadmap for regulatory change and control enhancements
  • Work with internal and external technology resources to clarify requirements and review implementation of those requirements
  • Proactively identify regulatory reporting issues
  • Maintain regulatory reporting functional specifications
  • Coordinate with other business units to ensure effective management reporting and daily exception monitoring
  • Provide employee training on relevant regulatory issues, new rules and interpretations
  • Assist in updating internal policies, desktop procedures and written supervisory procedures
  • Conduct surveillance for instances of potentially challenging reporting issues and behavior that could be deemed as such by regulatory bodies
  • Participate in ad-hoc requests, special projects and regulatory exams directed by other organizations within the compliance or legal departments
KNOWLEDGE, SKILLS & ABILITIES
  • Understanding of FINRA, SEC, NFA, CFTC and other regulatory requirements around trading activities and position reporting
  • Knowledge of CAT, OATS, CFTC OCR, Reg NMS, LOPR, Rule 606, SEC Rule 15c3-5, TRACE and MSRB trade reporting
  • Must have change management and project management experience
  • Ability to provide functional requirements for interpretation by project managers and developers
  • Understanding of options trading and related regulatory obligations
  • Highly organized with the ability to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency
  • Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization, including the ability to communicate technical requirements to a non-technical audience
EDUCATION & EXPERIENCE
  • Bachelor’s Degree from a four-year college/university or equivalent work experience
  • 7-10 years of experience developing strategies and managing major initiatives within a complex regulatory reporting structure of a Broker-Dealer and FCM
  • Series 7 and 24 required or must be obtained in the first six months