Compliance Officer (Securities) recruitment
Day to Day Responsibilities Include: Process regulatory and exchange requests focusing on Listed Options. Coordinate and respond to regulatory options related exams and reviews. Assist with the creation, enhancement and review of options related surveillances. Conduct options related desk and branch reviews Focus on routine regulatory reporting, such items as LOPR, BlueSheets, etc. Develop positive working relationships with regulators to facilitate communications with NUSA. Assist in the preparation of advice and information to staff on Read more […]
May 16, 2012
• Tags: Compliance, Compliance Officer (Securities) recruitment, Legal careers in the USA • Posted in: Financial • Comments Off on Compliance Officer (Securities) recruitment