Job description SNCT1162297
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Jr Desk Compliance Role
San Franscio - California
Permanent
Broker Dealer
Added on 01/07/2008
About the company
Our client is a leading Broker Dealer with locations in NYC, NJ and San Franscio, this role is for the SF office.
Job description
Our client is looking for a Jr Desk Compliance officer, somone who has a strong background with OTC, SEC and NYSE reviews . Must have a strong background in dealing with trading desk issues and traders and salesmen. This is a fast pace job for someone who has a stron desire to grow in the compliance area.
Who we are looking for
Our client is looking for a candidate who will be responsible for compliance support and for developing and executing an ongoing review plan for prime brokerage activities. This will include but not be limited to the following: " Provide guidance and advice regarding compliance issues to members of the prime brokerage team including sales, operations, trading, and securities lending in the oversight of all related prime brokerage activities in the support of hedge funds " Actively participate in industry and firm regulatory committees and communicate current industry initiatives and regulatory changes to business personnel. " Conduct business needs analyses, must have knowledge of trading and be able to work on the desk. Must have a 24 and be able to work independently
What's on offer
Competitive base and bonus
Michael Page Contact
For further info, apply or phone on 203-905-5274.
Your application will be sent to
Craig Termotto
with the reference
SNCT1162297
.
