Senior Regulatory Compliance SpecialistApply locations: Mexico - Colonia Juarez - Mexico
Time type: Full time
Posted on: Posted 30+ Days Ago
Job requisition id: R0020531
Operations & Compliance Network, LLC (Ocean) is a technology services provider to broker/dealer clients that use Ocean's trading platform services to operate regulated trading systems. The Senior Compliance Analyst will lead Ocean's Regulation Systems Compliance and Integrity ("Regulation SCI") compliance activities, ensure compliance with the regulation, create and maintain appropriate policies and procedures, coordinate with other Nasdaq departments, educate staff, develop and test systems in accordance with the Regulation SCI requirements, and draft and coordinate Ocean Regulation SCI client communications. Liaise with Ocean broker dealer customers.
Job Description: The Senior Compliance Analyst will lead Ocean's Regulation Systems Compliance and Integrity ("Regulation SCI") compliance activities, ensure compliance with the regulation, create and maintain appropriate policies and procedures, coordinate with other Nasdaq departments, educate staff, develop and test systems in accordance with the Regulation SCI requirements, and draft and coordinate Ocean Regulation SCI client communications.
Essential Job Functions: Oversee the Ocean Regulation SCI client support program.Act as liaison and point-person for all Ocean Regulation SCI related matters.Represent Ocean in Regulation SCI committees/meetings with other Nasdaq departments and Ocean broker dealer customers.Maintain and update Ocean Regulation SCI policies and procedures.Draft and deliver communications concerning Regulation SCI-related issues and events in accordance with Ocean policies and procedures.Conduct periodic Regulation SCI systems compliance reviews.Manage Ocean participation in annual industry wide BCP testing, including functional testing (including coordination of test scripts with industry as necessary).Facilitate and participate in annual internal review by Internal Audit for Regulation SCI.Deliver annual Ocean Regulation SCI training to Ocean personnel.Education/Experience Requirements: Bachelor's degree (Master's degree preferred); preferably in Management Information Systems.Minimum eight years of experience working on Brokerage applications in business analysis, project management, and testing.Experience in securities industry rule interpretation, and interaction with legal departments in translating rules into system requirements and policies and procedures for consumption by internal stakeholders, clients, and regulators.Extensive project management experience.FINRA Series 7 license preferred.Targeted compensation range: 900,000-1.2 million pesos per year.
Come as You Are Nasdaq is an equal opportunity employer. We positively encourage applications from suitably qualified and eligible candidates regardless of age, color, disability, national origin, ancestry, race, religion, gender, sexual orientation, gender identity and/or expression, veteran status, genetic information, or any other status protected by applicable law. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request an accommodation.
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