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Salary will be $110 to $140 depending on experience plus bonus
Position Type:
Employee
Employment type:
Full time
Updated:
02 Jul 2008
eFC Ref no:
356322
Our client a full service Investment Bank is looking for a senior Compiance Officer to manager the day to day Compliance responsibilites of the equities trading business.
The Compliance Officer will sit directly on the trading desk and be responsible for the surveillance, review and assurance of the Equites business. Responsibiliteis will be broad including, OATS reporting TMMS reporting, day to day surviellance, updating of the firm written procedures.
The candiate must have 3 plus years experience in the equities compliance, preferable on a desk at a broker dealer. Additionally, an understanding fo the sales side of the business will be plus.
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