Senior Compliance Advisor
Company: VirtualVocations
Location: Riverside
Posted on: September 11, 2023
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Job Description:
A company is looking for a Senior Compliance Manager to provide
compliance support for the firm's equity trading and related
operations areas.
Key Responsibilities:
Partner closely with the firm's equity trading area to ensure
compliance with laws, regulations, and internal policies
Foster training and communication programs for compliance within
trading and related operations
Investigate process gaps and negative findings, identify corrective
measures, and monitor remediation
Required Qualifications:
Knowledge of industry rules and regulations, including Market
Access, Best Execution, and Reporting
Series 7 certification required, with other certifications
preferred
Minimum 5 years securities industry experience with at least 3
years in compliance
Understanding of retail investment products and services
Bachelor's degree preferred
Keywords: VirtualVocations, Riverside , Senior Compliance Advisor, Other , Riverside, California
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