- Little Rock, United States
- 5+ years
Ensures compliance with regulatory rules and internal policies, supports the VP/Compliance Officer, reviews trading activities, manages access audits, and handles regulatory inquiries.
Responsibilities
- Provide backup to VP/Compliance Officer of Internal Audit
- Review daily trading activities for compliance
- Calculate and distribute 10b18 spreadsheet
- Perform employee user access audits
- Maintain confidential Watch List
Requirements
- Bachelor's degree in a related field
- Nice to have: Securities Industry Essentials (SIE)
- Nice to have: Series 7 – General Securities Representative
- Nice to have: Series 63 – State Law Exam