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VP Compliance Manager

Expired Job

Shulman Fleming & Partners New York , NY 10001

Posted 4 months ago

VP-Compliance Manager

The VP, Compliance Manager will work as part of the Compliance team reporting to the CCO of the company. The focus of the role will be primarily covering trading activity for multiple and fixed income trading desks at the
Firm.Key Responsibilities:

  • Review daily trade activity/exception reports related to the activities of the Equity and Fixed Income Trading Desks.
  • Assist in pulling the necessary information for regulatory reviews, audits and other examinations
  • Interact with Regulators and track all regulatory requests.
  • Coordinate regulatory calls and on-site examinations.
  • Review and take action with regard to any regulatory trade reporting issues.
  • Communicate with traders and supervisors to assess risk and remediate issues.
  • Ability to convey Compliance requirements and Business changes to Senior Management.


  • Knowledge of fixed income, treasury, and equities markets regulations including but not limited to TRACE, RTRS, OATS, ORF, TRF, ACT, Reg SHO, Reg NMS, Best Execution, Rule 605, Rule 606, Limit Order Display, Net Trading, FINRA Firm Gateway, etc.
  • Minimum 5 year's experience at a broker-dealer or regulator preferred
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VP Compliance Manager

Expired Job

Shulman Fleming & Partners