Junior Compliance Associate recruitment

A boutique broker-dealer is seeking a junior compliance associate to join their Legal Compliance department. This person will have direct contact with both the Chief Compliance Officer and General Counsel. Responsibilities will include: – Assisting in trade reporting and employee trading activities – Prepare for branch audits – Assist senior executives in preparation for regulatory exams – Provide administrative support to the General Counsel Requirements: – Familiarity with OATS – Experience with TRACE reporting – Series 7 a plusPlease send your resume/CV to Larry Florio at Larry.Florio@roberthalf.com Read more […]

January 27, 2012 • Tags: , , • Posted in: Financial • Comments Off on Junior Compliance Associate recruitment