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Basic Qualifications • Experience in a compliance role supporting a cash equity business, with specific knowledge of algo trading and capital markets transactions. • Currently has relevant securities licenses or is willing to quickly obtain them. • Demonstrated knowledge of SEC, FINRA and SRO rules relating to Equity Sales and Trading Products, as well as – to a lesser extent - Research Services. • Proven track record of working autonomously while remaining aware of need for escalation to management and doing so on a timely basis. • Demonstrated ability to thrive in an evolving environment. With the formation of this joint venture the business continues to grow, with new products and new ways of operating introduced on a regular basis. The Compliance Advisor is expected to have an active role in defining these new business models. • Knowledge of SEC, FINRA and Exchange rules relating to Equity Sales, Trading and trade reporting required. Preferred Qualifications • Analytical capability\: Able to break down complex problems into simple manageable units, develops solutions for each unit, and integrates them back into the whole. Can absorb ideas quickly and apply then pragmatically. • Results oriented\: setting goals and priorities that maximize the use of available resources to consistently deliver quality results. • Strong interpersonal effectiveness\: is self-aware of their own behavior and work style, as well as tolerant of different needs and viewpoints. Demonstrates interest in other opinions and shows consideration, concern, and respect for others. • Communication Skills\: excellent verbal, written and presentation skills to effectively interact with stakeholders at all levels, and to relay complex technical concepts to a non-technical audience. • Leadership\: create an inspiring vision, set direction and motivate others to follow and reach that goal. • Strong problem-solving and organizational skills with excellent attention to detail. • Capable of handling multiple, simultaneous, and various ad-hoc requests. • Demonstrated history of taking initiative. • Ability to prioritize and work in a dynamic, deadline-focused environment. • Advanced expertise with Microsoft Tools (Excel, PowerPoint, Word). |
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We are looking for a Director to join our Compliance Advisory Team. The Compliance Advisory Team partners with front office Sales, Trading, and Research personnel, offering advice and guidance on how to approach different compliance topics. The team also interfaces with Societe General to complete a full-service compliance offering. The ideal candidate is commercially minded, with experience in supporting equity trading and capital markets transactions, is flexible and adaptable, and can help build our business. As an Advisor on the Bernstein Institutional Services “Bernstein” compliance team you will be expected to advise senior management, business lines, and resource functions across five key objectives: • Providing advice and policy development • Facilitating knowledge and awareness • Undertaking monitoring and surveillance activities • Performing risk assessment, review, and control activities • Managing regulatory relationships In this role, you will proactively provide compliance and regulatory advisory services to the Investment Research and Execution businesses, with the support of the Bernstein Compliance Advisory team and in collaboration with other compliance teams, as appropriate, ensuring that the advice provided is suited to the needs of the business. Responsibilities include, but are not limited to: • Provide real-time compliance support to agency cash equity execution and US listed options desk within Bernstein • Assist with matters related to Bernstein’s various regulatory reporting requirements. • Communicate with colleagues globally on matters related to the Bernstein’s equity activities and its U.S. regulatory obligations. • Work closely with IT and support staff on the implementation of regulatory initiatives. • Assist and train the business line, support functions and compliance support staff on relevant rules and regulations. • Update Compliance policies and procedures to be current with rules, regulations, and business model. • Assist in the response of regulatory inquiries and regulatory examinations. • Aid in the review of the firm’s marketing material and communications. • Monitor business activities and engage in active dialog with business unit personnel regarding Compliance impacts of their activities. • Assist the Bernstein First Line of Defense Risk Group in the design and maintenance of written supervisory procedures. • Communicate directly with traders and supervisors to assess risks and remediate issues. • Actively monitor regulatory developments and trends and take appropriate action to ensure the business unit complies with new and/or amended regulations. • Provide advisory guidance to IT broadly across Bernstein to ensure compliant functionality of front and back-office tools. • Serve as primary contact with other compliance functions in researching, resolving and advising as it relates to trade surveillance, audit or compliance testing matters. • Assist in oversight of SG as a service provider supporting different Compliance functions.
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