Assist in implementing various account management policies/procedures, and assist in monitoring int'l clients' brokerage accounts; Work with the company's Compliance Department to conduct audits of brokerage operations and compliance; Assist in the procedures in restricted stock release to accelerate settlement process with clearing firms; Identify potential compliance/business rule violations & risks and report the same to Compliance; Assist in implementing/improving policies/procedures related to mitigating financial risk and regulation compliance; Advise int'l clients on US rules and regulations, evaluate & process Corporate Actions for int'l clients; Respond to inquiries, determine operational needs, and recommend ways to meet operational and compliance requirements of int'l clients; Assist in implementing operational and technology improvements.

Requirements: Bachelor's degree in Business Administration, Finance or a related field. Knowledge in security regulations and compliance; excellent communication, presentation, organizational skills;

• Proficient in Windows, MS Office (esp. expertise in Excel and/or Google doc's);
• Series 7 and 63 is preferred (company will sponsor if needed).

Apply to: james@viewtrade.com