Compliance Trade Floor Supervisor

KEY DIMENSIONS

1. Risk Assessment                                                        15    %
2. Administration of Risk Control                                            50    %
3. Relationship Management                                          30    %
4. Managerial Leadership                                                  5    %

Knowledge:

• An undergraduate degree
• As a minimum requirement, the candidate should have several years of experience in a Compliance or Regulatory function covering Capital Markets.
• A solid understanding of regulator expectations and the process through which regulatory requirements are integrated into business processes as well as techniques for resolving regulatory issues that are uncovered after-the-fact.
• In-depth knowledge of Capital Markets products and services including related functions and responsibilities of support groups and stakeholders (e.g., Compliance, Operations, Technology, Law Department, Tax Department, Accounting and Finance areas, etc.).
• Knowledgeable of the various risks and controls associated with Capital Markets’ business activities, including market risk, credit risk, and operational risk.