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Investment Compliance Specialist
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$108,375 - $140,250 a year
Full-time
- Provide oversight of trade desk and trading practices to ensure compliance with laws and regulations governing activities such as best execution, soft dollars, and broker-dealer reviews.
- Support and provide oversight of personal security trading surveillance program.
- Understand and propose solutions to compliance gaps associated with the use of private capital and other alternative investments.
- Typically more than eight years of compliance experience from a financial institution, audit, consulting and/or regulatory agency such the OCC, FINRA, SEC or Federal Reserve.
- Background or experience in RIA or SEC regulated firm compliance is a plus.
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