Hybrid Senior Regulatory Compliance & Surveillance Director

Daiwa-Securities-Group · New york, United States

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.