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Equity Trading - Compliance in Milwaukee, WI
at The Compliance Search Group in Milwaukee, WI
Our client currently seeks an experienced Compliance Administrator for their Institutional Equity Trading team.
This individual will be seated on the trading desk and be responsible for ongoing education of the traders, responding to inquiries as to the application of our policies and procedures, and staying abreast of the latest rules and regulations.
ESSENTIAL DUTIES AND RESPONSIBILITIES:
1. Help to ensure that the laws, regulations, firm policies and ethical standards of the securities industry are adhered to on the firm’s multiple equity trading venues.
2. Implement and monitor new securities regulations and interpretations and ensure that new products comply with all applicable rules.
3. Monitor trading systems real time and review various reports for any potential issues or concerns.
4. Act as liaison with the appropriate firm departments (Compliance, Internal Audit, IT, Settlements) to monitor and resolve any issues or concerns.
5. Review correspondence (including electronic communications) and other communications with the public.
6. Administer Continuing Education and Annual Compliance Meeting requirements for each licensed Associate.
7. Participate in NYSE, FINRA and SEC regulatory exams as necessary.
8. Perform other duties as assigned.
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
Published at 21-06-2010
Viewed: 15 times
Viewed: 15 times