Job Description
Take on a pivotal role in compliance at Edward Jones as a Compliance Officer focused on Trade Surveillance. You will play a vital role in managing and mitigating regulatory risks for trading activities in equities and fixed income markets.
In this position, you will ensure robust adherence to UMIR regulations, react to inquiries from CIRO, and facilitate trader training. Your responsibilities also include optimizing compliance monitoring frameworks and collaborating with various internal teams.
Key Responsibilities:
• Conduct trade surveillance and monitor infractions
• Manage CIRO trade reporting and regulatory requests
• Coordinate with US trading desk for compliance oversight
• Collaborate for timely issue resolution with other departments
• Lead compliance enhancement and develop in-depth reports
Requirements:
• Necessary qualifications include CSC and CPH
• Previous surveillance experience required
• Expertise in regulatory roles with oversight res...
In this position, you will ensure robust adherence to UMIR regulations, react to inquiries from CIRO, and facilitate trader training. Your responsibilities also include optimizing compliance monitoring frameworks and collaborating with various internal teams.
Key Responsibilities:
• Conduct trade surveillance and monitor infractions
• Manage CIRO trade reporting and regulatory requests
• Coordinate with US trading desk for compliance oversight
• Collaborate for timely issue resolution with other departments
• Lead compliance enhancement and develop in-depth reports
Requirements:
• Necessary qualifications include CSC and CPH
• Previous surveillance experience required
• Expertise in regulatory roles with oversight res...