Resumes
Resumes

Compliance Specialist At Hap Capital Advisors, Llc
View pageLocation:
Greater New York City Area
Industry:
Financial Services
Experience:
HAP Capital Advisors, LLC (Financial Services industry): Compliance Specialist, (April 2010-Present) * Options Market Making Compliance - AMEX, CBOE, ARCA
* OATS reporting file review
* Vendor Reporting
* Brokerage Statement Retention and Review
* Maintain Compl...