Compliance Officer – Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed Income, Listed... Compliance Manual and Written Supervisory Procedures. Provide Compliance Advisory services for broker-dealer Trade Surveillance...
advisory function to the President and is responsible for overseeing the management of the broker dealer's compliance risk... planning within area of coverage. Reports to a senior member of Private Side Compliance Advisory for SMBC Nikko Securities...
with below responsibilities: Provide Compliance Advisory services to US Broker Dealer business lines. Complete or assist in completing... to exchanges and technology-powered services. For more information visit Purpose of Role: The Senior Compliance Officer...
advisory and broker-dealer compliance. The employee will: > Provide subject matter guidance and experience related...IM Distribution Advisory Compliance Officer Morgan Stanley Overview Morgan Stanley is a leading global financial...
Job Description: Job Title Compliance Officer – Fixed Income Sales & Trading - Credit Corporate Title Vice... That Will Help You Excel Relevant experience providing compliance or legal coverage to a sales or trading Credit desk at a broker...
Job Description: Job Title Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Credit... to a sales or trading Credit desk at a broker/dealer working on or providing trade/sales support to such a desk Functional...