AVP/VP – Control Room Surveillance recruitment
The primary function is to conduct surveillance against Employee, Customer and Proprietary Accounts to detect potential insider trading, market abuse, and/or violations of the Firm’s Trading Policies, as well as project-based work. • Conduct daily surveillance of Proprietary, Customer and Employee’s trading activities to ensure compliance with the Firm’s Watch Restricted Lists, Front-running and Insider Trading policies. • Perform research and investigations to identify the reason for potential violations. • Document research results and escalate violations and/or suspicious Read more […]
February 22, 2012
• Tags: AVP, Compliance, Control Room Surveillance recruitment, Legal careers in the USA, VP • Posted in: Financial • Comments Off on AVP/VP – Control Room Surveillance recruitment