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Broker Dealer Compliance Consultant

  • Location: New York City, NY
  • Job Type: Right to Hire
  • Ref No: 19-06625
  • Date: November 08, 2019
  • Job title:
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Job Description - Broker Dealer Compliance Consultant

Broker Dealer Compliance Consultant



 

Job description

  • 5-7 years' experience in a broker-dealer compliance capacity with specific knowledge of trade reporting, trade monitoring and surveillance
  • Transaction monitoring experience
  • AML Investigative experience
    processes across both equity and fixed income products in the institutional space
  • Comprehensive understanding of securities operations, clearance and settlement
  • Familiarity with OATS and TRACE reporting, working knowledge of the Client TRAQS and WebCRD systems a plus.





 




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