All Posts tagged Supervision

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Position Purpose:  Provide a wide variety of administrative support for the Trade Desk Supervision department and its team members.
           
Primary Accountabilities/Responsibilities: 

• Processes daily and monthly reports using various systems such as SunGard BRASS, Valdi Trading Compliance (VTC), Bloomberg, FINRA report cards, OATS and ACT for review with the Trade Desk Supervisor.
• Reviews reports thoroughly to ensure they are functional and accurate.
• Maintains regulatory files and ensures each file is accurate and readily accessible.
• Monitors the FINRA and SEC websites to keep abreast of regulatory changes that directly impact our business platforms (i.e., Global Equity Trading, Direct Market Access (DMA) and Fixed Income)
• Gathers due diligence data for FINRA inquiries.
• Completes ad hoc projects for the trading group.
• Maintains prompt and regular attendance.
• This list of responsibilities may not be all-inclusive and can be expanded to include other duties or responsibilities as needed.

 Requirements
Job Requirements:

• High school graduate or equivalent
• 1-3 years of financial industry experience preferred
• Excellent written and verbal communication skills
• Emphasis on attention to details
• Ability to take initiative in completing assigned tasks
• Ability to complete tasks in a timely manner and meet deadlines
• Proficient knowledge of Microsoft Office including Excel
• Excellent organization and multitasking skills.
• Strong work ethic 

Class:  Part-time, non-exempt

Physical requirements/Working conditions:

• Climate controlled office environment
• Minimal physical requirements other than occasional light lifting of boxed materials
• Dynamic, time-sensitive, trading room environment

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