Job Description
A leading Financial services firm is in need of an experienced compliance professional to support their equity trading ad derivatives trading room.
Responsibilities include oversight of all trading activities with support of a small staff. This individual will be responsible for the adherence to all applicable rules and regulations and respond to all inquiries. The position also requires furnishing of reports to senior management of all exceptions and violations.
This is an excellent opportunity for advancement and the firm is very anxious to fill this position. Package includes base salary and bonus.
Job Requirements
Qualified candidate must have at least 7 years experience in a compliance position with oversight of equity trading, with specific emphasis on derivatives and options.
Knowledge of all the rules and regulations governing brokerage and trading operations as well as Blue Sky and Chinese Wall.
Excellent verbal and written communication skills are a must. Candidate must also have Series 7,63 8, or 24 with Series 4 and 14 a plus.
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