Senior Compliance Associate – Control Room recruitment
Responsibilities include:* Managing daily monitoring of employee trades, including pre post trade clearance, exceptions, appeals, and resolution tracking; * Applying the organizations policies and procedures to assess employee securities transactions and holdings for potential conflicts;* Managing and maintaining restricted lists; research securities, such as global equities, bonds, and mutual funds, for assignment to restricted lists;* Provide support of employee securities trading classifications, restricted lists and exempted securities;* Research and review of equity positions and other Read more […]
April 8, 2012
• Tags: Compliance, Control Room recruitment, Legal careers in the USA, Senior Compliance Associate • Posted in: Financial • Comments Off on Senior Compliance Associate – Control Room recruitment