, 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 ...
with colleagues with primary responsibility for Sales and Trading, Compliance Control Room, Investment Banking, and Equity Research...Business Overview: We are conducting a search for an experienced Compliance Officer ...
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..., Research and Collateralized Loan Obligations (CLO). The CIB and Research Compliance Officer assists in the ...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products..., Research and Collateralized Loan Obligations (CLO). The CIB and Research Compliance Officer assists in the ...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products..., and knowledge. Provide day-to-day compliance support for equities and fixed income securities trading and ...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products..., and knowledge. Provide day-to-day compliance support for equities and fixed income securities trading and ...
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 ...
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 ...
, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. Visit www.mizuhoamericas..., compliance, legal, HR and audit teams) to provide security best practice expertise. Stay ...
, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. Visit . Mizuho Americas..., compliance, legal, HR and audit teams) to provide security ...
and Sales/Sales Trading. Reporting to the Head of Equities Risk & Controls, the role will focus on leading and strengthening the... Citigroup, its clients and assets, by driving compliance with ...
income sales & trading, derivatives, FX, custody and research. Visit . Mizuho Americas offers a competitive total rewards... to Management, Supervisors and Account Officer all transactions that require ...
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 ...
On our site we use a technology called cookies to analyze our traffic and to improve user experience and offer additional services like saving jobs for not registered users and others. Click below to consent to the use of this technology across the site.
When you choose to contact us or create your use profile, we keep your information secure in our database and we do not sell, trade, or otherwise transfer to outside parties personally identifiable information.
