Compliance Officer/Chief Compliance Officer Job at Clark Davis Associates, New York, NY

eGNHeUJlOXJIb3F0RXpZbWhZR2UwczFrYnc9PQ==
  • Clark Davis Associates
  • New York, NY

Job Description

Broker/Dealer based in mid-town NYC. Will be responsible for maintaining compliance with policies and procedures related to equities trading according to FINRA and SEC regulations. 7+ years applicable experience is needed. Series 7 required, Series 24 preferred. Knowledge of TRILIUM and SMARTS software a plus.

Job Tags

Similar Jobs

EBizCharge

Creative Content Writer Job at EBizCharge

 ...samples required. EBizCharge is seeking a well-versed entry-level Content Writer who knows how to write for Software and Financial...  ...development. Qualifications ~ B.A. in English, Journalism or Marketing/Communications. ~1-2 years content writing experience... 

University of Nebraska Medical Center

Addiction Medicine Physician/Rank DOQ Job at University of Nebraska Medical Center

 ...26 Business Unit(College/Institute) College of Medicine FTE: 100 Reg-Temp Full-Time Regular...  ...Requisition Category Faculty Requisition Title Addiction Medicine Physician/Rank DOQ Job Title/Academic Rank Addiction... 

Mitsubishi Electric Automation, Inc.

Design Engineer Intern Job at Mitsubishi Electric Automation, Inc.

 ...Description POSITION SUMMARY Under minimum supervision, design, and support of value-added Solutions from customer supplied specifications...  ...for this position as determined by salary analysis; both internal and external to MEAU. Final compensation will be determined... 

Pillar To Post

Lead Home Inspector & Growth Partner Job at Pillar To Post

Lead Home Inspector & Growth PartnerPillar To Post is the leading home inspection company in North America. Our goal is to make the home inspection experience educational and easy for our customers. Our inspectors use the latest innovation and technology to create customized... 

Veterans Affairs, Veterans Health Administration

Intermediate Care Technician Job at Veterans Affairs, Veterans Health Administration

 ...qualifications of the position including all selective factors, and who are proficient in most of the required competencies of the job. Information about ICTAP and CTAP eligibility is on OPM's Career Transition Resources website at Veterans Affairs, Veterans Health Administration