$81,400.00 - $151,800.00; not specified; health in...
On-site
Capital markets compliance program
Finra rules 2210, 3130, 5310
Sec rules 605/6, 15c3-5
Assist in the effective implementation, maintenance, and administration of the Capital Markets Compliance Program, providing advisory services and performing risk assessments
Job Summary
Assist in the effective implementation, maintenance, and administration of the Capital Markets Compliance Program, providing advisory services and performing risk assessments.
Coordinate and perform ongoing monitoring and surveillance activities to ensure the Compliance Program remains current and aligned with the Firm’s Enterprise-wide Compliance Program.
Provide real-time guidance to Capital Markets management on regulatory implications and assist in the implementation of new or revised policies and programs.
Matching Summary
Assist in the effective implementation, maintenance, and administration of the Capital Markets Compliance Program, providing advisory services and performing risk assessments.
Salary
$81,400.00 - $151,800.00; Not specified; Health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans.