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Compliance Analyst - EComms Surveillance / Registrations Manager
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- Compliance Analyst- EComms Surveillance/Registrations Manager
- Play a key role in managing/processing filings in accordance with FINRA, NFA and CFTC rules/regulations.
- Work closely with supervisors, business management, Ethics & Compliance, Legal and HR to gather required information/documents for filings with regulators.
- Minimum of 3 years of compliance experience with a broker dealer/financial services firm in a similar role.
- Strong knowledge of US registration rules and regulations, especially those of the SEC, FINRA, CFTC/NFA and U.S. state jurisdictions.
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