Compliance Director
nasdaqomx - New York, NY

This job posting is no longer available on CareerBuilder. Find similar jobs:Compliance Director jobs - nasdaqomx jobs

NASDAQ recently acquired the eSpeed, the fully electronic trading platform for US Treasuries. eSpeed will be operated by Execution Access, LLC., a broker-dealer subsidiary of The NASDAQ OMX Group.

Typical Job Functions:

Provide in-depth knowledge and experience with respect to rules and regulations applicable to Capital Markets, especially Fixed Income.

Provide appropriate real time support, advice and training to the relevant front office and infrastructure personnel.

Review, interpret and implement rule proposals and amendments relevant to Fixed Income.

Develop and implement appropriate Compliance policies and procedures.

Develop and execute appropriate verification procedures to confirm compliance with relevant requirements.

Assist with internal and external exams, audits, inquiries, risk assessments, and similar reviews in relation to assigned business areas.

Evaluate and provide feedback and signoff on new products and business activities.

Provide input and guidance with respect to marketing materials and other communications with the public.

Investigate, develop and implement appropriate action plans in response to customer complaints and regulatory, audit or surveillance findings.

Assist as appropriate in connection with operational matters relevant to assigned business areas.

Assist and advise as appropriate with respect to information barriers and related controls, licensing requirements, supervision, and other related issues.


Bachelor's degree, MBA preferred.

3+ years of relevant Compliance experience including experience in US laws and regulations applicable to fixed income / credit products
2+ years of familiarity working with fixed income / credit products and transaction

Relevant financial and professional FINRA licenses (Series 7, 24)
Strong interpersonal, communication and presentation skills; ability to work effectively with senior managers.
Excellent time management and efficiency skills; ability to provide high quality service in a timely manner, to manage multiple matters and to prioritize appropriately.

Strong technical skills in MS Excel and/or Access.

This is a regular full time position located in New York. Desired start date is as soon as possible. As the selection and interview process is ongoing, please submit your application as soon as possible.

The NASDAQ OMX is an equal opportunity employer. Applicants and employees are treated without regard to race, color, religion, creed, gender, national origin, age, disability, marital or veteran status, sexual orientation, or any other legally protected status.

See Job Description