Description
- Understanding of US Equity Regulations, particularly SEC, FINRA, CFTC
- Coordinate with IT to create and enhance supervisory reports
- Work closely with desk supervisors and support groups in managing the day-to-day supervision infrastructure including matrices, supervisor alignments and monthly supervisor acknowledgements
- Conduct specific delegated supervisory tasks and follow up as necessary with the business supervisors. Works with other support partners to ensure supervisory processes are considered in the overall business infrastructure and ensures that adequate supervisory tools exist or are developed to meet key supervisory requirements
- Consults with senior management, the centralized Business Controls team, Legal and Compliance to develop strategies to implement change and improvements to current processes;
and work with Compliance and Legal as appropriate to update procedures to reflect changes in regulatory rules.
- Oversee, develop, maintain and enforce the supervisory program
- FINRA series 7, 63 & 24 licensed
Shift :
1st shift (United States of America)
Hours Per Week :
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