Compliance Associate (Principal) recruitment
We are actively seeking a Compliance Associate to monitor all business activity and ensure the firm remains in compliance with its policies, procedures and industry regulations.Key responsibilities of the position include:Review proprietary and personal trading.Review transaction reporting and client account files.Provide guidance and education to firm employees on industry regulations and best practices.Review internal and external communications including sales and marketing literature, advertisements and educational materials.Research securities industry rules and regulations.Attend local industry Read more […]
March 1, 2012
• Tags: Compliance, Compliance Associate (Principal) recruitment, Legal careers in the USA • Posted in: Financial • Comments Off on Compliance Associate (Principal) recruitment