Director, Compliance in Plantation, FL at TradeStation

Date Posted: 6/24/2020

Job Snapshot

Job Description

Director of Compliance
Plantation, FL 
TradeStation is an on-line 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.  We offer a collaborative and flexible work environment, competitive salaries, comprehensive benefits and an unlimited PTO policy.
We are currently seeking a Director of Compliance, who will act as the primary regulatory contact for SRO and exchange audits and regulatory reviews. The Director will also oversee the day to day operations of responding to regulatory requests and examinations. The candidate will have hands-on knowledge and ability concerning advanced compliance and risk-management requirements relating to the all lines of business, creation and follow-through of appropriate supervisory structure and WSPs.
ESSENTIAL JOB FUNCTIONS
  • Build, develop, and maintain relationships with business partners and our regulators 
  • Responsible for the organization’s overall compliance in accordance with applicable laws and regulations, and the business policies and procedures
  • Monitor and assess compliance by the organization, and individuals acting on its behalf, with the industry rules and applicable laws
  • Work across multiple asset classes and collaboratively with the Compliance department
  • Appropriately assess risk when business decisions are made through careful consideration for the organization’s reputation and the safeguarding of clients and assets; by driving compliance with applicable laws, rules and regulations; adhering to Policy; applying sound ethical judgment regarding personal behavior, conduct and business practices; and escalating, managing and reporting control issues with transparency
KNOWLEDGE, SKILLS & ABILITIES
  • 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
EDUCATION & EXPERIENCE
  • Bachelor’s Degree from a four-year college/university or equivalent work experience
  • 4-6 years of experience in a Compliance department or experience with a federal regulator or SRO
  • Series 7, 3, 24 required or must be obtained in the first 90 days
  • Investment Advisor and/or insurance experience is highly desired