Hybrid Senior Regulatory Compliance & Surveillance Director

Daiwa-Securities-Group; New York (NY); Hybrid; USD 200,000 - 225,000; Full time

Benefits offered by this job

Competitive benefits package

401(k) with company match

Paid time off & holidays

Professional development & training

Job summary

Daiwa Capital Markets America Inc. is seeking a Regulatory Compliance, Reporting & Surveillance Director in New York City.

You will lead key components of the regulatory compliance framework across equities, fixed income, treasury and futures, advise on regulatory changes, and drive improvements to policies, procedures and controls. You will supervise Compliance professionals, coordinate with Front Office, Risk, Legal and IT, and oversee examinations, testing and surveillance programs.

Qualifications

• Bachelor’s degree in business, finance, accounting, economics, law, information systems, or related discipline.
• At least 10 years of relevant broker-dealer, financial-services, regulatory, legal, audit, risk or compliance experience.
• Strong knowledge of requirements applicable to institutional Equities, Fixed Income, Treasury and Futures activities.
• Experience with compliance technology, regulatory reporting systems, surveillance platforms, or workflow applications.

Responsibilities

• Provide practical regulatory guidance; lead assigned compliance programs; assess new products, business initiatives, systems and regulatory developments; establish ownership and reporting standards.
• Oversee the Compliance framework for obligations including CAT/CAIS, TRACE, Electronic Blue Sheets, Short Interest, LOPR, Large Trader reporting.
• Oversee market, trade and electronic communications surveillance; review alerts and trends; coordinate with technology and risk management.
• Lead or coordinate examinations, sweeps, questionnaires and data requests with regulators; manage deadlines and reporting.
• Develop and maintain a risk-based inspection and testing schedule; oversee findings and remediation; support official reports.
• Coordinate regulatory reporting, governance, and technology-related oversight; promote automation and data-quality controls.
• Oversee Primary Dealer, Treasury oversight; ensure certifications, disclosures and training.
• Maintain policies and training; implement regulatory changes; perform gap reviews and tracking.
• Prepare governance reporting and communicate regulatory developments to leadership.

Skills

Communication

Analytical ability

Detail-oriented

Leadership

Education

Bachelor’s degree in business, finance, accounting, economics, law, information systems, or related discipline

Tools

Regulatory reporting systems

Surveillance platforms

Workflow applications

Job description

Daiwa Capital Markets America Inc. is seeking a Regulatory Compliance, Reporting & Surveillance Director in New York City.

You will lead key components of the regulatory compliance framework across equities, fixed income, treasury and futures, advise on regulatory changes, and drive improvements to policies, procedures and controls. You will supervise Compliance professionals, coordinate with Front Office, Risk, Legal and IT, and oversee examinations, testing and surveillance programs.