Snr Compliance Manager – research – brokerage – Securities Firm recruitment
Duties: Provide support to the business on regulatory compliance matters, raising issues to Senior Management and implementing corrective action plans, in particular to brokerage and investment banking businesses;Participate in new product development and ensure that new products conform to regulatory and internal compliance policies;Monitor new account opening procedure KYC review;Review policies and procedures prepared by other departments and provide input to ensure compliance with applicable legal and regulatory requirements;Advise management and business units on all compliance-related Read more […]