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Director of Equities Compliance
Hiring Company Industry:
Financial Services
Number of Employees:
1,000 - 10,000
Employees
Total Compensation: $100K+
Location: New York, NY
JOB DESCRIPTION
About the company :
Our client is an International Financial Services firm. Job description :
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 Maintains weekly Key Performance Indicators and reports to Management on a weekly basis any unresolved or other relevant issues noted. Who we are looking for :
Bachelors degree and Series 7, 8, 24 Must have in depth knowledge of equity sales and trading rules and regulations. Knowledge of fixed income rules and regulations are a plus. Whats on offer :
Base Bonus Benefits
Our client is an International Financial Services firm. Job description :
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 Maintains weekly Key Performance Indicators and reports to Management on a weekly basis any unresolved or other relevant issues noted. Who we are looking for :
Bachelors degree and Series 7, 8, 24 Must have in depth knowledge of equity sales and trading rules and regulations. Knowledge of fixed income rules and regulations are a plus. Whats on offer :
Base Bonus Benefits
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