Position : Compliance Officer
Location: NY-New York
Salary Range: $0 - $0/hr
Institutional Broker Dealer seeking a Compliance Officer.
Name: Compliance Officer
Candidate will be responsible for account documentation, record keeping, assist traders with Compliance related trading questions, and assist in registration requirements.
Requirements / Qualifications:
Securities licenses 7 and 24 and willingness to take additional tests including the 14, familiar with the regulatory issues facing an institutional broker dealer, experience in trade reporting required.