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Senior Compliance Advisor

Company: VirtualVocations
Location: Riverside
Posted on: September 11, 2023

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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