Trading Compliance Officer for Investment Banking ...

Trading Compliance Officer for Investment Banking Firm – New York

Our client seeks an individual who will act as a compliance officer for an institutional brokerage and investment banking firm. The primary responsibility of this position is to maintain an effective trading compliance program through risk management, monitoring and surveillance of Trading and Sales Activities. The successful candidate will also be involved in compliance matters relating to Corporate Finance. The position will be based out of New York

To be considered candidates must have attained a BA or BS degree, possess strong communication skills, series 24 and 7, and at least five years of experience in the compliance field. Candidates must be interested in a position that requires them to take both initiative and responsibility. Familiarity with international markets, including but not limited to the Canadian market, is also a desirable quality for candidates.

Compliance | Legal | Regulatory | Accounting | Audit | Risk Management | Operational Risk I Counterparty Credit | Financial Controls