Fixed Income Compliance Officer
Major Duties and Responsibilities-Conduct oversight of the account opening process-Process registrations and other on-boarding functions for new employees-Design and implement the surveillance of sales and trade activity-Conduct email and communications review-Participate in development and delivery of compliance training-Update supervisory and compliance manuals; recommend changes when warranted-Keep current on laws and regulations, including those promulgated by SEC, FINRA and state jurisdictions-Assist in responding to inquiries and examinations by regulatorsRequirements-Undergraduate degree-At Read more […]
June 27, 2009
• Tags: Compliance, Fixed Income Compliance Officer, Legal jobs and careers in USA • Posted in: Financial • Comments Off on Fixed Income Compliance Officer