This role will be responsible to maintain an effective trading compliance program through risk management, monitoring and surveillance of trading and sales activities.
The ideal candidate will ideally have:
- Equities Trading Compliance experience - Trading Group, Cash Equities, Options, and Fixed Income Trade Desks;
- Series 7 & 24 required; Series 55 registration preferred;
- Regulatory reporting, monitoring and transactions (OATS/Reg NMS/Trade Reporting) experience.
You will need to possess a strong academic profile, excellent organizational & communication as well as the ability to take initiative and assume responsibility
This position offers outstanding career progression and development. Compensation is competitive and commensurate with industry experience.
For more information, please contact Benjamin Ellison on 646 766