Review, detect, monitor and examine firm's daily trading activities to identify possible violations of regulatory requirements and firm policies
Research and respond to regulatory inquires on behalf of NASD and NYSE (‘SGES’) member firm
Responsibilities include reviewing & analyzing approximately 500,000 daily trades to detect any regulatory issues with regard to allocations, crossing trades, short sales, aggregation and best execution
Conduct compliance reviews of business groups to detect weaknesses and implement corrective actions
Review sales pursuant to S3 filings / prospectus requirements
Review Pink Sheet Transactions for Compliance and daily submissions and repairs, if warranted, of OATS
Review CRD for proper filings with regard to BD amendments, U4 and U5 filings and CE requirements
Review account forms for Compliance with applicable laws and rules, e.g. Bank Secrecy, Patriot ACT, KYC
Assist in the preparation and analysis of materials to be reviewed by the Director of Compliance
Monitor and surveillance of employee personal transactions to ensure compliance
Monitor Internet mail and IM messages for compliance
Assist in preparing and updating policies and procedure manuals
Oversight of over 1500 registered reps in 36 OSJ offices
A
trade automation, connectivity and compliance solution, the SunGard
Transaction Network (STN) links institutions throughout the financial
services community to facilitate end-to-end transaction processing.
With
more than 4,500 client firms in 60 countries managing more than $12
trillion, Advent has established itself as a leading provider of
mission-critical applications for investment management operations of
all sizes and strategies.
QUMAS
is a global compliance software company offering a complete Enterprise
Governance, Risk and Compliance solution with over 250 customer
deployments.
Belzberg
Technologies has been at the forefront of the electronic trading
evolution from the very beginning, and continues to provide world-class
service, execution and technology to the securities industry.
