This job ad has been posted over 40 days ago...
Director- Equities Sales and Trading Compliance
at www. compliancesearch.com in New York, NY
A global investment bank seeks an Equities Sales and Trading Compliance officer.
RESPONSIBILITIES:
Provide compliance advice and guidance to business lines, firm management and compliance support.
• Train business line and compliance support staff on relevant rules and regulations.
• Update Compliance policies and procedures to be current with rules, regulations and business model.
• Respond to regulatory inquiries and manage regulatory examinations.
• This individual will supervise a staff of three and monitor the day to day activity of the staff, review Key Performance Indicators on a weekly basis.
• Responsible for quarterly permanent supervision
TECHNICAL SKILLS:
Required/Must have: In depth knowledge of equity sales and trading rules and regulations. Fixed income rules and regulations are a plus.
PRIOR WORK EXPERIENCE:
Required/Must have: 7+ years of equity trading compliance experience in a fast paced dynamic environment.
EDUCATION:
Required/Must have: Bachelor’s degree and Series 7, 8, 24
Desired/Plus: Series 4 and 14
To apply please submit your resume to Jack Kelly - JKelly@ComplianceSearch.com
RESPONSIBILITIES:
Provide compliance advice and guidance to business lines, firm management and compliance support.
• Train business line and compliance support staff on relevant rules and regulations.
• Update Compliance policies and procedures to be current with rules, regulations and business model.
• Respond to regulatory inquiries and manage regulatory examinations.
• This individual will supervise a staff of three and monitor the day to day activity of the staff, review Key Performance Indicators on a weekly basis.
• Responsible for quarterly permanent supervision
TECHNICAL SKILLS:
Required/Must have: In depth knowledge of equity sales and trading rules and regulations. Fixed income rules and regulations are a plus.
PRIOR WORK EXPERIENCE:
Required/Must have: 7+ years of equity trading compliance experience in a fast paced dynamic environment.
EDUCATION:
Required/Must have: Bachelor’s degree and Series 7, 8, 24
Desired/Plus: Series 4 and 14
To apply please submit your resume to Jack Kelly - JKelly@ComplianceSearch.com
Published at 21-06-2010
Viewed: 22 times
Viewed: 22 times