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.
Requirements:
-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.
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