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Director - Equities ComplianceAshton Lane Group - New York, NYcompliance officer supporting the equities business of a global investment bank ... resolve issues and provide updates to the Director of Compliance excellent...12 days ago from eFinancialCareers - Save - Block - Flag - More Tools...
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Director - Equities Sales and Trading ComplianceTop International Investment Bank - New York, NYbank seeks an Equities Sales and Trading Compliance officer. RESPONSIBILITIES: ... compliance support. Train business line and compliance support staff on relevant rules...17 days ago from TheLadders.com - Save - Block - Flag - More Tools...
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Director of Equities ComplianceFinancial Services Firm - New York, NYServices firm. Job description : Provide compliance advice and guidance to business ... compliance support. Train business line and compliance support staff on relevant rules...30+ days ago from TheLadders.com - Save - Block - Flag - More Tools...
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Director of Equities ComplianceAn International Financial Services Firm - New York, NYcompliance advice and guidance to business lines, firm management and compliance ... on relevant rules and regulations. Update Compliance policies and procedures to be...30+ days ago from Netshare - Save - Block - Flag - More Tools...
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Director of Equities ComplianceHoward-sloan Professional Search - New York, NYDirector of ECM Origination, Syndicate and Special Equities Compliance is responsible ... Compliance groups, Legal and Retail Compliance in order to advise on applicable...30+ days ago from eFinancialCareers - Save - Block - Flag - More Tools...
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Director- Equities Sales and Trading ComplianceCompliance Search Group - New York, NYbank seeks an Equities Sales and Trading Compliance ... officer. RESPONSIBILITIES: Provide compliance advice and guidance to business...29 days ago from Compliance Search Group - Save - Block - Flag - More Tools...
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Director of Equity Capital Markets ComplianceAmerican Financial Institution - New York, NYOrigination, Syndicate and Special Equities Compliance is responsible for managing ... compliance groups, Legal and Retail Compliance in order to advise on applicable...3 days ago from TheLadders.com - Save - Block - Flag - More Tools...
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Compliance Officer - JapanAIG - New York, NYThe individual will report to the Managing Director & Chief Compliance Officer and is ... compliance training. Assist with specific Compliance projects and goals as required...4 days ago from InsuranceJobs.com - Save - Block - Flag - More Tools...
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Marketing Intern - UCSequoia Equities - Davis, CAAttend Sequoia University, Sequoia Equities' in house training program. Classes ... at: www.experiencesequoia.com. Sequoia Equities is an Equal Opportunity Employer...4 days ago from Sequoia Equities - Save - Block - Flag - More Tools...
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Equities Compliance Vice PresidentCompliance Search Group - New York, NYCompliance Vice President Domestic Equities Compliance specialist needed to: 1. ... issues; 5. Serve as a backup to the Compliance Director for all issues,...30+ days ago from Compliance Search Group - Save - Block - Flag - More Tools...
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