Marcus Pierre Email & Phone Number

New York, New York, United States

Luxembourg, LU

Luxembourg, LU

New York, NY, US

• Provide support in the development, implementation and maintenance of compliance programs.
• Conduct annual compliance reviews and prepare and deliver compliance training on areas such as portfolio management, expenses, custody, Business Continuity and Disaster Recovery testing.
• Prepare and submit annual and quarterly regulatory filings.
• Continuously monitor relevant regulatory changes and assist Client’s in developing internal controls
• Prepare and deliver compliance training
• Conduct ongoing testing for compliance with the Client’s stated policies and procedures

Conducted daily reviews and investigations of market activity in connection with listed securities to detect and identify unusual trading situations involving possible insider trading abuses, manipulation and other violations SEC rules/securities lawsAdministered assigned portions of the Compliance program including the Code of EthicsArranged and provide.

• Conduct daily reviews and investigations of market activity in connection with listed securities to detect and identify unusual trading situations involving possible insider trading abuses, manipulation and other.
• Provide transactional and general compliance advice to sales and trading desks;
• Provide maintenance of the compliance departments watched and restricted lists in dealing with preserving the Information Barriers between their research and trading departments;
• Provide guidance and advice to staff regarding all Compliance and Regulatory matters;
• Work with Legal and Compliance personnel to respond to regulatory inquiries or investigations, as needed.
• Review of Conflicts such as: foreign account opening, trading limits, possible risk events;

Montreal, QC, CA

• Daily review and investigation of market activity in connection with listed securities to detect and identify unusual trading situations involving possible insider trading abuses, manipulation and other violations of.
• Provide transactional and general compliance advice to sales and trading;
• Assist the Equity and Fixed Income Research, Derivatives, International and OTC desk departments in dealing with compliance, related issues and preserving the Information Barriers;
• Provide guidance and advice to staff regarding all Compliance and Regulatory matters;
• Work with Legal and Compliance personnel to respond to regulatory inquiries or investigations, as needed.

• Reviewed and investigated market activity in connection with listed securities to detect and identify unusual trading situations that involved possible insider trading abuses, manipulation and other violations of NYSE.
• Investigations which included conducting on-the-record interviews with specialists;
• Monitored assigned industry groups and stocks for trends and developments in trading activity;
• Coordinated surveillance and investigative findings with other Inter-market Surveillance Group members and the SEC;
• Prepared closing investigation memoranda with appropriate recommendations for regulatory actions;
• Assisted in the training of new staff members.

US