Compliance Officer

Safra Securities ("SSL"), a U.S Registered Broker-Dealer with operations since 2000 and is a self-clearing Broker-Dealer since 2016. SSL is member of the Financial Industry Regulatory Authority (“FINRA”), the Securities Investor Protection Corporation (“SIPC”) and the Securities Industry and Financial Markets Association (“SIFMA”). Headquartered in New York, with a branch in Florida, SSL is a wholly owned subsidiary of Safra National Bank of New York, and is part of the J. Safra group of companies (“J. Safra Group”), an international network of companies controlled by the family of Mr. Joseph Safra. The group is well established through its financial institutions in the United States, Europe, Latin America, Asia, the Middle East and the Caribbean. The Safra name is a global symbol of private banking and wealth management, with a tradition emphasizing security and tailored investment services that meet the needs and objectives of high net worth clients. The primary focus of Safra Securities is to provide its clients access to diverse investments instruments, trading strategies and marketplaces. Through its devoted team of qualified professionals, SSL offers services to high net-worth individuals and to a select group of institutional investors. SSL is active in Equities and Options, Fixed Income, Structured Products and Mutual Funds. SSL is a member of several US stock exchanges and has access to several additional liquidity pools, which enables SSL to provide quality trade execution to its clientele. Job Description: Safra Securities LLC, the broker-dealer subsidiary of Safra National Bank of New York, is seeking a Compliance Officer in its New York, NY office. The compliance officer will work closely with the CCO, the Trading Desks, regulators and vendors to ensure the Firm’s market regulation compliance program meets regulatory and internal standards. Responsibilities: Review exception reports with respect to the Firm’s trading efforts, for equities, options and fixed income; Ensure that the Firm’s reporting responsibilities are processing as they should, including TRF reporting, Rule 606, CAT, TRACE, RTRS, LOPR and Blue Sheets Prepare best execution metrics and participate on the Firm’s Best Execution committee Understand the SEC market access rule and adjust risk thresholds as necessary Participate in the Firm’s Risk Management Committee Review electronic correspondence of the trading desk Write and amend trading policies and procedures as necessary Respond to regulatory exams, inquiries and internal audits Assist on special projects as needed Qualifications and Skills: An understanding of equities, options and fixed income markets and their attendant regulations Familiarity with Actimize Market Surveillance, Bloomberg, Valdi, IHS An ability to work independently and collaboratively An ability to meet deadlines FINRA Series 7 Superior spreadsheet (Excel) skills with respect to manipulating large data sets Seniority level

Seniority level Mid-Senior level Employment type

Employment type Full-time Job function

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