, and maintain policies and procedures across equity sales and trading. Analyze regulatory changes as they relate to equity sales...Job Description: General Responsibilities: Support and ...
? We are looking for someone for the following: The compliance officer will be responsible for primary coverage of the Global Equities Derivatives Trading... Derivative Sales Trading, Equity Derivative ...
, Compliance, and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large... and compliance advice to business units, identify and ...
Officer is responsible for acting in an advisory capacity to the Wedbush Capital Markets activities including equity market... making sales, trading, research, syndicate and investment banking activities. This role will ...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products...-3 years of compliance experience. Experience providing compliance support to a FICC and/or Equities sales and ...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products...-3 years of compliance experience. Experience providing compliance support to a FICC and/or Equities sales and ...
Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer..."). The Compliance Advisor Senior Manager will work independently from the CBD ...
a dynamic Head of Retail Compliance who will report directly to our Chief Compliance Officer. This is a great opportunity... assessing, overseeing, and improving the risk management and compliance practices ...
vehicles focused on private equity, real estate, public debt and equity, infrastructure, life sciences, growth equity... is available at . Follow @blackstone on , , and . Business ...
Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer.... This role will serve as the Deputy Commercial Broker Dealer Compliance ...
3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading...Join the Mizuho team as an Information Security Officer! This ...
is currently live for US equity and global futures trading. BestEx Research is disrupting a $100 billion industry by challenging...-based platform, Algo Management System (AMS), is the first ...
on the interaction with Lenders/Investors. Monitor and ensure compliance with tax equity and lender agreements, and prepare... trading or commodity environment and financing of tax equity transactions. Solid credit ...
. Provides overall legal support for insider trading policy compliance and Rule 10b5-1 plans, including maintaining blackout list... and resolving legal issues associated with securities laws and stock exchange ...
. Stay abreast of all regulatory and accounting regulations. Liaise with various internal (i.e., trading, sales, legal... candidate will report to the Chief Financial Officer and will be ...
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