Want to get an opinion on this predicament. I recently started as an off-cycle hire for a bank and already made my first screw-up. I was onboarded remotely and basically skimmed through compliance documents clicking “No” to all answers. In doing this I attested that I didn’t have any outside trading accounts. Indeed, I do have a personal brokerage account with Etrade that owns a few thousand dollars of an index-tracking ETF. I’m 10 days into the job and have been calling Compliance hysterically trying to correct this ASAP. I sent over an email but unfortunately given it’s the holidays, I’m waiting on a response.
Given that I am coming forward to fix this asap and I’ve only been at the firm for two weeks, is this something I could get fired over?
Relax, just don't trade anything in the meantime
Often times it takes firms a few weeks to get this information set-up anyway
Appreciate the soothing advice. Will check back in Monday to update on outcome in case anyone else makes this mistake in the future and needs advice.
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