The TA is responsible for the supervision of daily trade blotters of the Retail Branch Office System. Act as a guardian of the firm by providing a check and balance for trading-related issues of Retail Branch Office System.
The primary responsibility of the TA is the supervision of Daily Trade Activity, through the review of the Retail Branch Trade Blotter, and Daily trade alerts.
Escalate items that demonstrate deficiencies in the adherence to rules and regulations pertaining to but not limited to the following:
• Trading ahead
• Time and price discretion
• Daily trading alerts
• Discretionary option trading
• Custodial Accounts
• Employee/Employee Related Trading
• Stock Option Plan accounts
The TA will also be responsible for ongoing interaction with the Local Supervision Teams to provide and receive feedback on personnel changes, and provide any trending updates.
The TA will participate in regular strategy meetings to review new policies and regulations to develop robust and substantial reviews of the trade blotter.
Knowledge, Skills, and Abilities
• Knowledge of SEC, Exchange and Firm Compliance Policies
• Effective written and verbal communication skills
• Strong attention to detail
• Ability to interact with Management
• Ability to thoroughly investigate and problem solve
• Ability to identify issues and trends in order to provide recommended comprehensive solutions and remedies
• Ability to see an assignment through from conception through completion
• Ability to organize and prioritize work and meet deadlines
3 or more years of industry experience
Bachelor's degree or equivalent education or experience
Licenses and Registrations:
Active Series 7, 8 (or 9 and 10), 66 (or 65 and 63) Registrations. Willing to sit for Series 3 Exam
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