ENDED
- Link: Deputy Chief Compliance Officer from Interactive Brokers
- Dates: All year 2017.
- Job location: Greenwich, USA.
- Job description: Handle regulatory inquiries from national and foreign regulators concerning trading and compliance issues of all the products offered. Meet and respond to the regulators during onsite examinations. Research, interpret and advise the firm regarding compliance with laws, regulations and guidance that apply. Write instructions for programmers and technology staff to respond to new regulators or to launch new business. Draft and implement policies, supervisory procedures, and remedial action plans (in respond of auditory, when needed).
|
Latest promotions:
Extra promotions:
Comments:
It's your turn: