Broker Dealer Compliance

Location: New York, New York, United States

Ref#: POS-2054

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Provide compliance support to the broker dealer across all its businesses, with specific focus on automated trading strategies. The successful candidates will be responsible for daily support, drafting written supervisory procedures, surveillance report development, reviewing surveillance reports, issue identification and the ability to offer pragmatic solutions to monitor/prevent issues. Candidates should demonstrate an entrepreneurial drive, and should also be thinking strategically for their respective coverage areas.


Role Responsibilities:


 

Requirements Include:

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