Junior BD Compliance Officer — CAT & Trade Surveillance
Crossroads Staffing
Crossroads Staffing is seeking a Junior Broker-Dealer Compliance Officer in Thousand Oaks, CA to join our growing compliance team, and work closely with trading and sales. The role covers broad-based compliance across institutional trading, equity research, investment banking, electronic trading and prime services, with a strong emphasis on trade monitoring, surveillance, CAT and CAIS reporting, as well as regulator communications (FINRA/SEC) and internal policy updates. #J-18808-Ljbffr Crossroads Staffing
Vacancy posted 3 days ago
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