Securitization Lawyer

ITD Compliance RoleOur client is a well-known and respected broker-dealer.
ITD Compliance Analyst
competitiveRef: 1140473
REQUIREMENTS


This role is a great opportunity to join a well-respected and growing broker-dealer in their expanding compliance department. The ideal candidate will have:
An understanding of the basic rules of trading including trade reports, capacity, and modifiers
An ability to respond to regulatory inquiries regarding OTC and listed trading as well as options trading
The ability to perform daily reviews, capacity review, marking the close books and records reviews, 1% calculation, and brass exception reports
They must be responsible for conducting comprehensive desk reviews and write paper on findings
They must be able to deal with trading and sales staff on regulatory inquiries
They must be able to learn internal systems
They must be a self-starter with a fast-paced and energetic approach to their work
Series 55 is a plus