The objective of this position is to contribute strengthen the Compliance electronic communications (E-Comms) and voice communications (V-Comms) monitoring and surveillance program, inclusive of policies, procedures, processes and methodologies, in place to satisfy applicable U.S. legal and regulatory requirements/expectations. […]
• Business Knowledge: Maintain a working knowledge of relevant SRO, Federal, and State regulations applicable to Banks, Broker Dealers, and Swap Dealers, and stay informed on applicable trading strategies and firm policies. […]
• Relationship Management: Develops and...