Search Jobs: Results: Compliance Officer - Equity Trading
Job Title: Compliance Officer
Compliance Officer for Municipal Trading Floor in NY
Compliance Officer for Trading Desk, Top Financial Institution, Equity and Credit Retail Distribution
Our client, a prestigious Financial Institution with offices in New York, is seeking a Compliance Officer to work directly on the trading floor, with Securities.
Our client, a prestigious Financial Institution with offices in New York, is seeking a Compliance Officer to work directly on the trading floor, with Securities.
Candidates should have the following experience and profile:
- Come from a top college or university, where they demonstrated academic excellence while pursuing a Bachelors degree,
- Have an advanced degree, preferably an MBA,
- 4 – 8 years experience in the securities industry,
- Exposure to Municipal Trading,
- Experience with compliance support for a large institutional trading group.
- Be knowledgeable about MSRB rules, regulatory reporting, surveillance, trade execution, SEC regulations and FINRA guidelines.
Candidates should also be confident and have the ability to operate well under pressure, the ability to make decisions and display good judgment, and be able to function at a high level with minimum supervision. Candidates should be excellent communicators and present well, and be able to communicate clearly and concisely in a short period of time, and be subject matter experts. Candidates should be able to demonstrate an analytical nature, be attentive to detail, and be able to diffuse tense situations with ease.
If you are interested in this position and meet all of the requirements, please send your resume and cover letter to ALocklear@FPCRamapoValley.com.
Job Details
| Name: | Andrea Locklear | Date Posted: | 10/15/2009 |
| Office: | Ramapo Valley | Telephone: | (201) 644-8866 |
| Email: | ALocklear@FPCRamapoValley.com | Fax: | |
| Category: | Accounting/Finance, Legal | ||
| Keywords: | Compliance, Securities, Municipal, Trading, Retail, FINRA | Region: | |
| State: | NY | City: | New York |
| Education: | BA, BS, JD, MA, MBA | Job Number: | J17526-RAMV- |
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