Associate, Customer Protection - Jersey City
2 weeks ago
Job summary
The Customer Protection Control team is tasked with providing central governance and oversight of projects, change requests, and transactions which impact Possession and Control (SEA Rule 15c3-3 & CIRO 4311) compliance capabilities of the U.S Broker Dealer (LLC) and Canadian Broker Dealer (DSI)- Perform daily Possession and Control (15c3-3 and 4311) oversight and reporting functions;
- Ensure accurate record keeping of all data, reports, and supporting documentation maintained by the department;
Job description
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