Trading Compliance Officer recruitment
The RoleThe organization has a very people centered philosophy and employees are valued and encouraged to present new ideas in order to push the business forward. Key responsibilities will include but not be limited to:Daily trade surveillance, employee trade and restricted list monitoring for the Equities and Fixed Income Trading desks. Review of Exception Reports and TRACE reportingAddress day-to-day trading, sales, and compliance questions on new and existing regulations and respond to regulatory inquiries.This is the perfect opportunity for an individual who has a foundation of experience but Read more […]
August 3, 2012
• Tags: Compliance, Legal careers in the USA, Trading Compliance Officer recruitment • Posted in: Financial • Comments Off on Trading Compliance Officer recruitment