Sunday, January 13, 2013

Dir, Lead Equity Trader

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Supervise trading of equities to ensure compliance with current regulations and maintenance of capital parameters. Ensure the sales trading complies with current regulations and department efficiency and effectiveness through regular review of account coverage, sales and trading techniques, and technology. Distribute information to customer and execute orders to purchase or sell securities as directed by customer. Responsibilities: • Ensures the area is in compliance with laws, regulations and rulings governing trading and the policies and procedures of the Company. • Monitors exceptions and works toward reducing the risks inherent in providing fiduciary services through supervision, training...

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