Regulatory Compliance Manager in Plantation, FL at TradeStation

Date Posted: 9/8/2022

Job Snapshot

Job Description

Regulatory Compliance Manager
Plantation, FL
Who We Are:
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.  At TradeStation, we're continuously pushing the boundaries of what's possible, encouraging out-of-the-box thinking and relentless search for innovation.
What We Are Looking For:
The Regulatory Compliance Manager will lead and manage the day-to-day responses to all requests and inquiries from regulatory agencies, and ensure the regulatory filings for the member firm are accurate and complete.  The role will be supporting the Sr. Director of Compliance who acts as the primary regulatory contact for SRO and exchange audits and regulatory reviews.  You will manage the operations of responding to SRO and regulator requests, examinations, annual filings and investigation requests. The candidate will  oversee advanced compliance and risk-management requirements relating to all lines of business, creation and follow-through of appropriate supervisory structure, WSPs, and operational processes as they demonstrate compliance will laws and regulations.
FLSA Classification (US Only): Exempt
What You’ll Be Doing:
  • Conduct research and compile responses for the organization’s overall compliance in accordance with applicable laws and regulations, and the business policies and procedures
  • Manage complex regulatory matters which may require collaboration with internal departments, validation of data and high attention to details to demonstrate compliance with all laws and regulations
  • Research applicable rules and regulations and provide interpretation to leadership
  • Work across multiple asset classes and collaboratively with the Compliance department
  • Assess risk with regulatory change management and escalate to business leaders
  • Manage projects to implement processes and ensure compliance with all rules and regulations
  • Build, develop, and maintain relationships with business partners and our regulators 
  • Develop a deep understanding and working knowledge of systems, transaction flows and data used in the business to manage the production of SEC 17 a-3 and a-4 compliant records and respond to regulatory requests
  • Identify potential regulatory compliance issues or deviations from internal policies and procedures
The Skills You Bring:
  • Significant experience with federal securities and commodities regulations along with industry rules, interpretations and best practices
  • Familiarity with Governance Risk and Compliance (GRC) software to manage risk and control documentation
  • Demonstrated interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
  • Excellent research and analytical skills in addition to a technical aptitude
  • Excellent written and verbal communication skills
  • Work with a sense of urgency and diligence
  • Exhibit the highest standards of integrity and maintain confidentiality
  • Assess ambiguity with a calm demeanor and confidence
  • Work both independently and collaboratively
Minimum Qualifications:
  • Bachelor’s Degree from a four-year college/university or equivalent work experience
  • 5-8 years of experience in a Compliance department or experience with a federal regulator or SRO
Desired Qualifications:
  • Series 7, 3, 24 required or must be obtained in the first 90 days
  • Data mining, data analytics or experience in Power BI preferred
What We Offer:
  • Collaborative work environment
  • Competitive Salaries
  • Yearly bonus and generous 401k plan
  • Comprehensive benefits for you and your family starting Day 1, including a Veterinary Discount Plan!
  • Unlimited Paid Time Off
  • Flexible working environment
  • TradeStation Account employee benefits, as well as full access to education materials