Investment Banking Equity Derivatives Compliance Officer
Make your application after reading the following skill and qualification requirements for this position.
Role:
- Capital Markets Compliance Advisory Experience : Equities Compliance, Equity Derivatives, Futures, Capital Markets Compliance, Broker-Dealer Compliance, Front Office Advisory
- Regulatory Expertise (SEC, FINRA & Broker-Dealer Rules) : understanding of SEC, FINRA, and SRO regulations
- Stakeholder Management & Risk Advisory
- 5+ years of experience supporting Equities, Equity Derivatives, and Futures businesses within a broker-dealer or investment banking environment, possessing strong SEC/FINRA xzgxqkn regulatory expertise
- Excellent stakeholder management skills, and a proven ability to provide practical compliance guidance to Front Office teams and senior management.
Equity Derivatives Compliance Officer in new york at Unknown Company
This position is listed as full time and onsite.