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🎁 TradeStation Securities | Director, Compliance and Regulatory Reporting
ENDED
- Link: Director, Compliance and Regulatory Reporting from TradeStation Securities
- Dates: All year 2021.
- Job location: Plantation, USA.
- Job description: Maintain a roadmap for regulatory change and control enhancements. Work with resources to clarify requirements and review their implementation. Identify regulatory reporting issues. Maintain regulatory reporting functional specifications. Coordinate with other business units to ensure effective management reporting and daily exception monitoring. Provide employee training on relevant regulatory issues, new rules and interpretations. Assist in updating internal policies, desktop procedures and written supervisory procedures. Conduct surveillance for instances of potentially challenging reporting issues and behavior.
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