Growing self-clearing broker dealer is looking to grow it's compliance team and is looking for an experienced surveillance professional.
- Must have broker dealer, clearing firm space experience. They are a 100% equity shop so we Equity market surveillance/risk experience.
- Best Execution, Market Access, Market Manipulation, Trading Ahead, Front Running knowledge
- Help business implementing and documenting various supervisory/control mechanisms in accordance to FINRA Supervisory Rules, etc. Certification
- Set credit limits for all business initiatives. Ensured firm's adherence to daily credit/risk limits (VAR Positions).
- Implementing and monitoring the operations and internal controls of the AML program and FinCEN's Designated Contact.