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Job Order:
0731-001-1011

Job Type:
Permanent

Title:
Compliance Officer

Location:
New Jersey

Description:
Summary/Responsibilities:
National trading firm is seeking a Compliance Officer for their trading team.
Providing real time trading advice and support to the firm’s trading desk (listed, Nasdaq )
Providing real time advice to the traders on regulatory requirements.
Conduct branch inspections.
Educating trading personnel on compliance procedures and new regulations.
Amend firm Written Supervisory Procedures as necessary to conform to new regulations.
Research and provide guidance on new trading proposals.
Assist the Chief Compliance Officer in preparation for regulatory exams and inquiries.

Requirements:
Must have experience with listed and Nasdaq trading, trade reporting.
Must be fluent in all current trading rules.
Experience with other aspects of Broker/Dealer compliance is helpful.
Project management skills desired.
Must possess a series 7, 24, and 63 licenses.
A Series 14 is a plus.
A JD is a plus.


Category:
Broker Dealer

Contact:
matt@bcius.com