Compliance

• Daily and Monthly review of compliance reports for Manipulative and Deceptive trading activities and/or other securities regulations violations (i.e. high close, spoofing, wash trades, insider trading trade markers)
• PRO account trading reviews, amend and/or enhance policies and procedures and update process documents
• New Account Approvals for online brokerage and institutional accounts, reviewing credit reports, assessing account appropriateness (if applicable), and validating complete documentation
• Daily and Monthly review of supervision reports for CRIO Rules, and prepare/review and submit regulatory reports (i.e. PRO account activity, $1500 Reviews, MTRS reporting, Short report, OTCBB reporting)
• Communicating with advisors/introducing brokers regarding any trade compliance concerns and tracking issues to ensure resolution
• Provide day to day trade compliance education support to all business lines via the Trade Compliance email box and/or by preparing Compliance Newsletter content

Trade Compliance Officer

Senior Manager – Operations Regulatory Risk

Assistant Branch Manager, Compliance

Compliance & Risk Intern, Winter 2026

Senior Sales Compliance Analyst