Compliance Analyst (Broker Dealer) recruitment

This individual will have general responsibility for monitoring of day-to-day activities of the broker dealer and assisting in compliance administration matters for the broker dealer. Responsibilities include, but are not limited to, assisting the Chief Compliance Officer of the broker dealer with the ongoing administration of the compliance program. This includes assisting and coordinating the various compliance activities, under the direction and guidance of the CCO-BD to include monitoring compliance calendar, reviews testing, policies procedures, as well as overall compliance program administration. Also Read more […]

August 10, 2012 • Tags: , , • Posted in: Financial • Comments Off on Compliance Analyst (Broker Dealer) recruitment