ENDED
- Link: Equities Trade Surveillance Associate (Broker Dealer) from PhillipCapital
- Dates: All year 2019.
- Job location: Chicago, USA.
- Job description: Perform daily review of exception from an outsourced compliance solutions vendor as well as internally developed reports. Daily submission of FINRA/SEC Electronic Blue Sheet submissions. Daily review of quality of execution reports and related exceptions, ORF/TRF trade reporting, SEC/TAF Fees. Identify and escalate exceptions for further review directly to VP of Operations and CCO. Draft summaries for internal management. Assist in preparation/documentation for internal/external regulatory audit inquires.
|
Latest promotions:
Extra promotions:
Comments:
It's your turn: