Regulatory Policy Specialist developing regulatory case filings and strategies supporting company goals at Xcel Energy. Collaborating with stakeholders and senior management to ensure compliance and effective communication.
About the role
- Senior Compliance Officer at Belvedere Trading ensuring compliance with regulations and oversight over the compliance program. Leading strategic initiatives for an efficient compliance framework.
Responsibilities
- Provide strategic regulatory compliance guidance to the firm’s business lines and leadership team.
- Suggest pragmatic, scalable, and automated compliance solutions for new or existing business initiatives.
- Conduct comprehensive internal compliance reviews to identify potential operational gaps or inefficiencies and develop strategic and scalable solutions.
- Periodically review the firm’s supervisory procedures for relevance, adequacy, and effectiveness.
- Keep abreast of regulatory developments, including rulemaking by the firm’s regulators and self-regulatory organizations.
- Promote a culture of compliance throughout the firm and accountability by the firm’s registered principals with respect to their supervisory responsibilities.
- Administer compliance training to the firm’s employees.
- Oversee the firm’s engagement and response to regulatory examinations, audits, and inquiries.
- Oversee the firm’s FINRA CAT compliance and work with the teams responsible for daily reporting.
- Draft and update policies and procedures to conform to new regulations.
- Draft desktop procedures for a variety of Compliance functions.
Requirements
- 10+ years regulatory compliance experience working for an exchange, a regulatory organization, a Broker Dealer (BD), a Futures Commission Merchant (FCM) or similar organization.
- Deep expertise in broker-dealer and commodities trading laws and regulations and their applicability to large proprietary trading firms.
- Experience with FINRA CAT daily reporting.
- Experience with designing, implementing, and reviewing regulatory surveillance.
- Experience identifying compliance process inefficiencies and implementing technical-based solutions.
- Demonstrate initiative and an ability to identify, prevent, and mitigate regulatory risks.
- Be an independent leader on projects that improve our trading operations management.
- FINRA Series 57 and 24 preferred.
- Bachelor’s Degree required and Masters Degree preferred.
- Intermediate data query skills, such as SQL
- Proficiency in Excel and data analysis
Benefits
- Additionally, certain positions at Belvedere Trading are eligible for discretionary bonuses.
- Our employees have access to a variety of benefits, which can be found on our website here.
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