Director, Product Compliance Officer recruitment
Core accountabilities:Provide compliance and regulatory advice regarding the design, development of a broad range of products sold by retail financial advisors, including: structured products, derivatives, mutual funds, closed-end funds, exchange traded funds, alternative investments (hedge funds, private equity, managed futures, real assets), equity and debt offerings. Advise on product specific regulatory requirement, reasonable basis suitability, customer suitability requirements, supervisory controls procedures, communication with clients, training, and compliance and control testing. Represent Read more […]
PRODUCT COMPLIANCE OFFICER recruitment
Responsibilities: • primary responsibility for market abuse surveillance in the Agency and Client Facilitation Equities brokerage areas• focus areas include Direct Market Access / Electronic Trading and block trading at market open / market close and volume weighted average prices• investigate regulatory inquiries on trading incidents and draft responses• will be cross-trained on derivatives compliance issues and be expected act as a back up in that area• offer the opportunity to develop and improve the surveillance programmeRequirements: • three to five years’ relevant experience Read more […]