, 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 ...
, 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..., 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 ...
FHN Financial is an industry leader in fixed income sales, trading and strategies for institutional customers in the... knowledge of financial systems, trading platforms, and regulatory compliance requirements Strategic ...
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 ...
. 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 ...
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 ...
. 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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