Job Description

About the job

Hold Brothers Capital, LLC, a leading self-clearing broker-dealer, is looking for a Compliance Associate/Officer to join the team. He/she will help with the delivery of expert advice to broker dealers regarding FINRA, SEC and/or state regulatory requirements and regulatory best practices. With a diverse team of Compliance professionals supporting all areas of our business, the team is working diligently to be innovative and present all business partners with thoughtful and unique solutions to the challenges they face. The Compliance function has a robust set of priorities in place focused on best practice and employee development to ensure goals are delivered. We are seeking a highly skilled and experienced public equities trading Compliance Officer to join our team. The Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations.

Responsibilities

• Monitor trading activities to ensure compliance with relevant regulations, laws, and policies
• Collaborate with traders to ensure that all trades are executed in compliance with regulatory requirements and internal policies
• Develop and implement policies and procedures to ensure compliance with regulatory requirements.
• Provide training and guidance to internal stakeholders on regulatory requirements and internal policies.
• Conduct compliance risk assessments and audits of internal policies.
• Investigate and resolve compliance issues and escalate, as necessary.
• Keep abreast of changes to regulatory requirements and make necessary updates to internal policies and procedures.
• Interface with external regulatory bodies and respond to regulatory inquiries and requests for information.

Qualifications

• Bachelor's degree in business administration, Finance, Legal or related field
• 4+ years of experience in public equities trading compliance.
• Series 7 required, Series 24 preferred or attained upon hiring.
• Strong knowledge of FINRA and SEC rules and regulations related to public equities trading.
• Experience using Trillium software for trade compliance management.
• Experience developing and implementing public equities trading compliance policies and procedures.
• Excellent written and verbal communication skills
• Ability to work independently and as part of a cross-functional team

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