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Institutional Equity and Derivatives Surveillance Compliance in New York
at Compliance Search Group in New York, NY
Institutional Equity and Derivatives Surveillance Compliance in New York
Conduct surveillance of equity and derivatives trading for Compliance
Main Duties:
• Monitor trading activity using various reports and databases. Analyze and organize data, identifying any trends in a timely manner.
• Work closely with the Business and Technology teams to enhance existing reports as well as to develop new reports.
• Conduct regular reviews of policies and procedures to ensure compliance with laws and regulations.
• Maintain accurate and complete compliance documentation.
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Conduct surveillance of equity and derivatives trading for Compliance
Main Duties:
• Monitor trading activity using various reports and databases. Analyze and organize data, identifying any trends in a timely manner.
• Work closely with the Business and Technology teams to enhance existing reports as well as to develop new reports.
• Conduct regular reviews of policies and procedures to ensure compliance with laws and regulations.
• Maintain accurate and complete compliance documentation.
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Published at 18-05-2010
Viewed: 13 times
Viewed: 13 times