Equities Trading Compliance Officer recruitment

Responsibilities:* Design and develop effective compliance procedures and controls in support of new and expanding trading activities* Draft, review, and refine documents that govern company policy and practice* Deal with the high volume of equities trades that can go through the hedge fund* Participate in audits and assist in the management of regulatory examinations Requirements: * 5 to 8 years of equities sales and trading compliance experience at a financial institution* Possess exceptional verbal and written communication skills* Strong understanding of systems used by investment advisors Read more […]

September 7, 2009 • Tags: , , • Posted in: Financial • Comments Off on Equities Trading Compliance Officer recruitment