Director, TS Business Operations (Securities Regulation)
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Location: New York, NY; hybrid work environment. The role supports a 24-hour operating environment, may require overnight coverage, work beyond normal business hours, and travel as necessary. Other approved work locations include Boston, Chicago, Denver, Jericho, Jersey City, Philadelphia, Rockville, Tysons, Washington, Woodbridge, Connecticut State, and Washington State.
Salary for New York, NY: $161,200–$312,600 annually.
Company
is a securities regulator focused on investor protection and market integrity.
What you will do
- Lead real-time overnight responses to market halts, trade breaks, and extraordinary conditions in over-the-counter trading of exchange-listed securities.
- Resolve inquiries from trading, operations, and compliance staff at participant firms and coordinate with internal and external stakeholders.
- Establish and oversee Trade Reporting Facility participant contact and reference-data governance to improve accuracy and operations.
- Advise Transparency Services Operations, Market Regulation, OGC, financial institutions, and other regulators on real-time issues and new procedures.
- Direct reviews of regulatory alerts, tips, complaints, firm filings, and regulatory referrals.
- Represent in regulatory policy conferences and meetings and support audits, inspections, and compliance functions.
Requirements
- Bachelor’s degree in Finance, Economics, Business, or a related field.
- At least 10 years of securities industry experience and at least 2 years supervising projects or mentoring staff.
- Expert knowledge of equity market structure, over-the-counter trading, trade reporting obligations, and market halt and trade-break protocols.
- Strong familiarity with Trade Reporting Facilities and participant contact and reference-data management.
- Experience leading real-time market or regulatory operations, including overnight or on-call response and incident management.
- Experience managing managers or senior individual contributors, developing staff, assessing risk, and implementing mitigation plans.
Culture & Benefits
- Hybrid collaboration through in-person and virtual work.
- Health, dental, vision, life, disability, and long-term-care insurance.
- 401(k) plan with company match and an additional -funded retirement contribution.
- Paid time off, personal and sick days, paid holidays, parental and family-care leave, and volunteer service days.
- Tuition reimbursement, commuter benefits, wellness programs, backup family care, adoption assistance, and surrogacy benefits.
- Employment is subject to investment-account restrictions, financial disclosures, confidentiality requirements, and compliance with its Code of Conduct.
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