• Control Room Compliance Officer
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    Company: Newman Resource Group

    Location: Stamford, CT

    Date Posted: October 17, 2013

    Role/Team Summary: The role is a member of M&IB’s Central Compliance team. The Central Compliance team is responsible for Registrations, Control Room, E-Communications, Surveillance, Gifts and Entertainment, Policies and Procedures, and Training. This role will sit within the surveillance unit of Central Compliance. Responsibilities: Trade Surveillance Conduct reviews of M&IB surveillance reports to detect potentially violative trading activity Maintain strong positive relationships with front office (traders, salespeople, support personnel, etc.) to research and resolve issues noted Advise on key policy and regulatory issues associated with firm trading Update manuals, policies and procedures relating to the trade surveillance program Conducting User Acceptance Testing when enhancements...

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    from TheLadders.com