New York-based Broker-Dealer Opportunities.
FINRA Member Broker-Dealer is looking for a Chief Compliance Officer. Must have minimum of 5 years of experience. Should have been a CCO or reported to directly to the CCO in a retail environment, that offers Research and Underwriting activities. Municipal and Options Securities preferred. See more and APPLY.
Regulatory Compliance Attorney needed to service legal and regulatory matters for a wide array of products and services. The Company deals in equities, derivatives, US Treasuries, various fixed income desks, futures and foreign stocks. It offers electronic trading and asset management services.
-Must have in-house experience preferably with a large-to-mid-size Investment Bank supporting Institutional Brokerage activities covering Fixed Income and Equity markets.
Please read more about this Opportunity and APPLY.