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 […]
Compliance Reporting Client Service Specialist, Boston, Worldwide Securities Services
Business overviewWorldwide Securities Services (WSS), a division of JPMorgan Treasury Securities Services, is a global leader in providing innovative products and services to the world’s largest institutional investors. With $16.3 trillion in assets under custody, WSS is the leader in securities services. In more than 80 markets, JPMorgan Worldwide Securities Services leverages its scale and capabilities to help clients optimize efficiency, mitigate risk and enhance revenue through its custody and investor services as well as securities clearance and trust services.WSS holds investments, provides Read more […]