Assistant Vice President Compliance Officer - Equity Specialist

Monitor client portfolios for compliance with securities laws and guidelines. Provide portfolio surveillance support, create new surveillances, and identify and resolve trading errors. Assist in the authoring, implementation, and testing of policies ..

• Date Posted:

  5/23/2024 

• Remote Work Level:

  Hybrid Remote

• Location:

  New York, NY, or US National

  

• Job Type:

  Employee

• Job Schedule:

  Full-Time

• Career Level:

  Senior Level Manager (Director, Dept Head, VP, General Manager, C-level)

• Travel Required:

  No specification

• Categories:

  Accounting & Finance, Client Services, Account Management, Legal

• Company:

  Company details here

• Benefits:

  Company Benefits here

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