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Company: Confidential Company |
Responsible for actively monitoring and supervising registered representatives in respective branch office
Oversees approval of new accounts and the ongoing review of suitability of customer account activity.
Monitors and reviews all daily trading for areas including excessive trading, day trading, short sales, speculation in low priced securities, unauthorized use of discretion, inappropriate use of margin, options approvals, uncovered option trading, concentrations, mutual fund activity, security blue sky issues.
Reviews menu of daily, weekly and monthly surveillance reports and conducts follow up reviews as deemed necessary
Monitors for compliance with new issue rules and sales of control and restricted securities.
Coordinates with Compliance Department on handling customer complaints and regulatory inquiries.
Monitors and reviews misuse of inside information and rumors
Manages relationships with regulatory examiners and internal audit teams.
Works in coordination with Compliance Department in the delivery of formal training and interpretation of rules and regulations
Monitors employee trading, including conflicts with customers
Reviews all branch correspondence, including a sample of email correspondence.
Advises the technology group regarding requirements for compliance processes/systems
Maintains current knowledge of applicable laws and regulations by attending industry and professional meetings and seminars
Requirements:
Bachelor’s degree
7 + years industry experience
Series 7, 63, and 8 (or 9 & 10) Certification
Prior branch administrative/compliance experience required
(655085)
