...assistance for the Sales Representative Organizations (SRO) and District Sales Managers (DSM). .... Determine and recommend training of SROs, DSMs, and dealers required accomplishing sales... product demonstrations and training for SROs, DSMs, dealers, and end users ... 11. Assist dealers, end user, SROs, and DSMs, with CCTV system ... Program: a. Work directly with SROs and dealers to attain quarterly ...

... as monitoring firm-element continuing education program -Research and investigate Incident Reports -Perform a review of daily, weekly and monthly PAS compliance reports -Respond to Audit and SRO requests and inquiries -Review and oversight of outsourced activities -Active involvement in various PAS and Pershing committees including Pershing Regulatory Review Committee and PAS Credit Committee -...

...Draft, update and implement all firm policies and procedures * Training on new and proposed rules and Information Memorandums that effect Market Makers * Compile statistical data provided by SROs for management review * Prepare presentation to firm Management Committee regarding Market Maker performance * Develop real time critical surveillances * Develop T+1 reports for tracking trend analysis * ...

...[5&/0"OD_X?%%7^*>A1LVW;(Q^IVG`K MZCTR0I,,9KBJNTD7:Z9TAP!P,TS?@\,12AF*YP:1E/H1^%%):&!B>(+:6WEAU MFT0R75H")8E_Y;P'[R?4?>'N/>M:"\BOK:*YMY1+!(HDC<=&4]#4I&.>G'I7 M.Z:!X?U>33#E;*\9I[+/1'ZR1?\`LP_&C<-SRO\`:@\,+>>&[35HUVO9SX9_ M1'X(^F<?G7S7J%%A/IKQI*I1S&L@'LPR#^5?:_P`5])&N_#S7K/`9S:O(@_VE M&1_*OEKQ[I_VGPUX1U:->+C35A?']Z,E3^E==*7NV`X[3[N2WO8;\#<8)%%9L M#C&>]>U?!N^6U^,%%NRN1#>VLJKC^+Y0P_E7B-EJ$VG32F%%...

...Draft, update and implement all firm policies and procedures * Training on new and proposed rules and Information Memorandums that effect Market Makers * Compile statistical data provided by SROs for management review * Prepare presentation to firm Management Committee regarding Market Maker performance * Develop real time critical surveillances * Develop T+1 reports for tracking trend analysis * ...

... and review for integrity of certain data within the system . Review various trade exception reports KEY LATERAL RELATIONSHIPS: . Internal group departments . Vendors and suppliers relating to trading . SRO/SEC on an as needed basis with Compliance Officer. . Information Technology UNITS SUPPORTED/KEY STATISTICS: . Equity Trading . Compliance Job Requirements: (Knowledge/ Experience): . Series 7, ...

...Draft, update and implement all firm policies and procedures * Training on new and proposed rules and Information Memorandums that effect Market Makers * Compile statistical data provided by SROs for management review * Prepare presentation to firm Management Committee regarding Market Maker performance * Develop real time critical surveillances * Develop T+1 reports for tracking trend analysis * ...

...Draft, update and implement all firm policies and procedures * Training on new and proposed rules and Information Memorandums that effect Market Makers * Compile statistical data provided by SROs for management review * Prepare presentation to firm Management Committee regarding Market Maker performance * Develop real time critical surveillances * Develop T+1 reports for tracking trend analysis * ...

...Draft, update and implement all firm policies and procedures * Training on new and proposed rules and Information Memorandums that effect Market Makers * Compile statistical data provided by SROs for management review * Prepare presentation to firm Management Committee regarding Market Maker performance * Develop real time critical surveillances * Develop T+1 reports for tracking trend analysis * ...

... affiliated entities of RBC Capital Markets Corporation. ? Ensure timely, complete, and accurate regulatory filing of required periodic reports by RBCCM and RBCCMA to government agencies, SROs, Operating Committee, Internal Audit, etc. Filings/submissions include: ? Ensure timely, complete, and accurate responses to examinations of Surveillance by government agencies, self-regulatory organizations...