Trillium Trading , Llc Work Values

Daily Duties at Trillium Trading , Llc :

Summary: Comprehensive management and re-engineering of compliance program for proprietary trading firm through the enhancement of internal controls, drafting of Written Supervisory Procedures, Code of Conduct, AML, and various training programs, resulting in two (2) deficiency free FINRA examinations within the last four years. Identified and interpreted FINRA, SEC and other regulatory requirements to advise senior management regarding risk mitigation strategies to enhance regulatory compliance. Created and implemented internal testing procedures for NASD Rule 3012 to identify those internal controls procedures that needed enhancements to ensure reduction of regulatory risk. Managed regulatory inquires from securities regulators providing documentation to resolve requests regarding electronic trading activity on various trading venues. Provided support to firm’s trade personnel regarding regulatory developments and worked collaboratively with Director of Trading and Senior Vice Presidents to ensure firm’s trading activity met regulatory guidelines.

What they like about Trillium Trading , Llc :

You give high priority to hiring firms with prestige. Market reputation and prestige of a firm may be determined through on-line research, and conversations with individuals working in your target industry. Note that firms "in the public eye" receive a great deal more critical publicity and attention than those operating with more anonymity. So as you assess your employment opportunities, be sure to seek out the positive aspects of the firm's reputation in addition to noting negative publicity the company may have received.

Tags

written supervisory procedures, compliance officer, trade surveillance, self starter, leadership role, broker dealer, project management, consulting, branch audits, FINRA/SEC Examinations, WEB CRD Registrations, FORM BD, drafting of internal controls, Testing of Internal Controls, Compliance Leadership, management of regulatory inquiries and examinations, creation of management reports to monitor compliance, compliance training programs

Skills

Sales Support, MS Office : Word, Excel, PowerPoint, Manage FINRA and SEC regulatory requests regarding specific firm’s trading activities by providing written communications to resolve inquiries in a timely manner. , Demonstrate dynamic leadership qualities and strong communication skills in successfully steering compliance agenda and financial meetings utilized in delivering comprehensive strategies., Developed training materials that were utilized for regulatory mandated meeting thus reducing the firm’s need to contract with vendors for outsourced solutions.

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