Compliance Officer (Clearing) recruitment
This is an exciting opportunity to join a newly created program in a position designed to offer significant responsibility and growth.Responsibilities include, but are not limited to:Developing and implementing operational procedures for Firm self clearing initiative;Performing reviews to ensure compliance with pertinent rules and regulations, including Rule 3012, Rule 204, and Reg SHO;Liaising with FINRA on regulatory audits pertaining to clearingAdditional responsibilities as should be required as part of Firm self clearing initiative.Ideal candidate will have:Minimum 5 years experience at a Read more […]