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Job ID Number: 1258576337
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Prime Brokerage |
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| Job Title: |
Prime Brokerage Compliance Officer |
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| State/Location: |
New York, NY |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Top-tier firm seeks a Prime Brokerage Compliance Officer for their New York Office.
Responsibilities will include:
• Ensuring that the Firm’s Prime Brokerage business operates in compliance with applicable regulations.
• Monitoring and documenting the Firm’s trade flows, order routing/execution and trade reporting functions for best practices and irregularities.
• Maintenance of the Firm’s prime brokerage policies and procedures.
• Documenting, categorizing and tracking of the Firm’s error trades and error trading policies.
Qualifications:
• Candidate MUST have 5+ years Prime Brokerage experience in implementing/auditing compliance with CFTC and NFA rules and regulations.
• BS/BA required
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
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