Trading Conduct Compliance Examiner
Publicada el 2026-07-19
Descripción de la oferta
Examine Dealers’ processes, procedures and supervision for their compliance with trading related Requirements as defined in the Universal Market Integrity Rules (UMIR) and the Investment Dealer and Partially Consolidated Rules (IDPC Rules). In addition, the examiner will participate in the review of trading related aspects of fixed income and OTC products. Key Responsibilities: The key activities include: Field Work Conduct reviews of Dealers’ equity trading records and supervision policies and…
Skills
Fuente original: adzuna:ca