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

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  • 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.

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