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Vice President And Compliance Officer
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- Perform trading and best execution reviews; monitor/review personnel trading for conflicts of interest
- Ability to oversee and carry out the implementation and on-going execution and enhancement of a full-scale compliance program
- Demonstrate integrity—maintain client trust, confidentiality and code of ethics
- 5-7 years or more experience in financial industry compliance and/or operations; Preferably in a manager, officer or director role
- Experience with the current and proposed financial regulatory environment (SEC, FINRA, DOL/ERISA, CFTC)
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