Senior Compliance Officer
3 weeks ago
Serve as the first line of defense in keeping our business compliant. This means you’ll maintain accurate, organized, and current compliance records that allow the Firm to respond quickly to any inquiry or audit. You’ll also monitor business activities to ensure the Firm remains in compliance with SRO Regulations along with Firm policies and participate in the development, review and maintenance of Written Supervisory Procedures.
Partner with our new employees to assist in the registration processes and Exchange membership documentation and applications. Continue to work closely with our office by managing the internal Compliance material to ensure all documentation is up to date.
Monitor trading activity using real-time alerts and various reports. Analyze and compile data into meaningful summaries, update log files and identify trends promptly; making findings available to the team.
Investigate and perform research related to compliance initiatives. Summarize findings for review, including organizing supporting documents, data, and articles. Assist in monitoring and reviewing relevant laws, rules and regulations to identify new compliance requirements.