Equities: Sales & Trading, Prime Brokerage & Stock Loan Compliance Officer recruitment

Position Category: Legal/CompliancePosition Title: Equities: Sales Trading, Prime Brokerage Stock Loan Compliance OfficerJob Level: Executive DirectorLocation: USA – NY – New YorkEducation Required: Bachelors DegreePosition Description:Provide Compliance support for equity sales and trading desks, including stock loan and prime brokerage, as well as support functionsDesign applicable training for business unit personnelAssist in the design and maintenance of written supervisory procedures as prescribed in NASD 3010 and 3012Assist in regulatory reviews, audits and other examinationsCommunicate Read more […]

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