Department is currently seeking a Vice President, Broker Dealer Operations to support the growing Capital Markets business... will focus on Capital Markets activities and broker dealer compliance and work to ensure AMCM activities are conducted...
equities legal, regulatory and compliance issues, broker-dealer regulatory requirements, and supervisory and compliance... individual to join its Equities Practice Group within the Corporate & Investment Bank as a Broker-Dealer & Cash Equities Attorney...
and Compliance, broker-dealer and swap dealer compliance) Strong understanding of audit principles, methodology, tools and processes...Morgan Stanley is seeking a financial services professional to join our team as an Internal Audit Vice President. The...
Prime Brokerage Compliance Manager- Vice President Position Description: State Street Markets Compliance is seeking... implementation of all required policies and assist with the compliance oversight of the Broker-Dealer’s prime brokerage activities...
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...
Corporate Title Vice President Location New York, NY Overview You will focus on providing real-time support to the FIC... to a sales or trading Credit desk at a broker/dealer working on or providing trade/sales support to such a desk Functional...
advisory and broker-dealer compliance. The employee will: > Provide subject matter guidance and experience related... in broker-dealer and sales practice compliance. > Assist in the development of cross-functional compliance policies...
Vice President, Equities Trading At BNY, our culture empowers you to grow and succeed. As a leading global financial... for the world. This is what #LifeAtBNY is all about. We're seeking a future team member for the role of Vice President...
including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff members perform various... leadership including metrics reporting to such parties. Demonstrates ability to effectively support the team’s Vice President...
of the U.S. securities laws, broker-dealer regulations, and banking regulations impacting the business, including issues... as industry groups, such as SIFMA, particularly relating to advocacy for new regulatory initiatives. Director or Vice President...