Review, detect, monitor and examine firm's daily trading activities to identify possible violations of regulatory requirements and firm policies
Research and respond to regulatory inquires on behalf of NASD and NYSE (‘SGES’) member firm
Responsibilities include reviewing & analyzing approximately 500,000 daily trades to detect any regulatory issues with regard to allocations, crossing trades, short sales, aggregation and best execution
Conduct compliance reviews of business groups to detect weaknesses and implement corrective actions
Review sales pursuant to S3 filings / prospectus requirements
Review Pink Sheet Transactions for Compliance and daily submissions and repairs, if warranted, of OATS
Review CRD for proper filings with regard to BD amendments, U4 and U5 filings and CE requirements
Review account forms for Compliance with applicable laws and rules, e.g. Bank Secrecy, Patriot ACT, KYC
Assist in the preparation and analysis of materials to be reviewed by the Director of Compliance
Monitor and surveillance of employee personal transactions to ensure compliance
Monitor Internet mail and IM messages for compliance
Assist in preparing and updating policies and procedure manuals
Oversight of over 1500 registered reps in 36 OSJ offices
