What are the responsibilities and job description for the Front Office Specialist position at Atlas Search?
Our client is a global financial services organization seeking a Front Office Supervision Consultant to join their team. This role supports compliance oversight across trading and brokerage activities, working closely with front office, risk, and operations teams in a fast-paced environment.
Responsibilities:
- Support supervision and compliance activities across front office trading functions, ensuring alignment with internal policies and regulatory expectations.
- Conduct reviews and analyses of trading activity to identify potential risks and escalate issues as appropriate.
- Partner with internal stakeholders, including risk, legal, and operations, to address compliance-related matters and strengthen controls.
- Assist in the preparation of reports and materials for senior stakeholders, highlighting key risks and recommendations.
- Stay current on regulatory developments and contribute to updates in policies, procedures, and supervisory frameworks.
- Participate in internal reviews, audits, and regulatory examinations, supporting remediation efforts where needed.
Qualifications:
- Relevant FINRA licensing (or ability to obtain) preferred.
- Bachelor’s degree in Finance, Business Administration, or a related field.
- 3 years of experience in compliance, supervision, risk, or a related function within financial services.
- General knowledge of regulatory frameworks applicable to trading or brokerage environments.
- Strong analytical, organizational, and communication skills.
- Ability to manage multiple priorities and work effectively in a team-oriented setting.