Job Description: Position Summary Guggenheim Securities (“GS”) is hiring a Vice President Broker Dealer Regulatory...-9 years of professional experience in Broker Dealer Regulatory Reporting Expertise in SEC/FINRA Broker Dealer...
: Contributes to analytics and reporting of Broker-Dealer funding, liquidity, and capital. Including for intraday liquidity...Position Overview: Citi’s Global Broker-Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate...
of Financial Industry Regulatory Authority, Securities and Exchange Commission (SEC), broker dealer regulations and other relevant... Corporate Title Assistant Vice President Location New York, NY Overview The Compliance Origination & Advisory division...
, documentation, and reporting approaches) 2. Familiarity with regulatory requirements for Swap-Dealer, Broker-Dealer and Bank... include regulatory issues, audit issues and management self-identified issues. 2. Engage with issue owners to track...
activities and applicable regulations surrounding them. Knowledge of the Broker Dealer and Banking Regulations, which include... of Defense to achieve and sustain its risk-based compliance with applicable laws and regulatory requirements. CMS tests that the...
Bank’s U.S. operations including derivative activities, broker dealer and swap dealer businesses. Based in the New York... to and composes the overseas arm of MHBK’s Internal Audit Division (IAD). Summary Vice President supporting IADA by maintaining...
leadership including metrics reporting to such parties. Demonstrates ability to effectively support the team’s Vice President... including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff members perform various...
; Knowledge of broker-dealer regulatory compliance, including SEC, FINRA and other SRO rules and regulations > Candidate...Equity Sales and Trading Compliance - Vice President Company Profile Morgan Stanley is a leading global financial...