A growing brokerage firm in NYC is looking to add a VP Trading Compliance to work directly with the Head of Trading Compliance. The position operates on a hybrid schedule out of the midtown office.
Title: VP Trading Compliance
Salary: $140,000-150,000/yr
Key Responsibilities:
- Monitor all trading and sales activity to ensure compliance
- Provide analysis on exception reports and market information
- Review quality of markets pertaining to best execution, locked and crossed markets, etc.
Key Qualifications:
- 3+ years' experience with equities products
- Series 7
- SMARTS platform a must
