, 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 ...
? We are looking for someone for the following: act as a compliance subject-matter expert for the Equities, Equity Derivatives, and/or Futures business.... Your expertise ...
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 ...
control or audit with experience in Equity Research Sales, Equity Sales Trading, Equity Trading and/or Electronic Trading the... various global and regional Equities Trading Governance Committees. work with ...
and regulations pertaining to Rates and Structured Finance Products sales and trading activities draft and publish policies... Enterprise, and Structured Finance businesses, as well as functional leaders in compliance, ...
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 ...
START college savings program. The Chief Investment Officer is responsible for administering the investment programs... of the State of Louisiana Department of Treasury Investment Division by initiating prudent ...
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 ...
Markets sales & trading teams ensure adherence to policies and standards Responsible for enhancing the control... activities. Manage, review, and approve new investment sales, Equity and FI new ...
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 ...
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 ...
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