Wedbush Securities in Pasadena seeks a Senior Associate, Regulatory Supervision to oversee Prime Brokerage activity, perform due diligence and assess regulatory changes. The role focuses on compliance reviews and supervisory controls across correspondent clients and clearing functions.
The ideal candidate has 5+ years in regulatory supervision, FINRA licenses, and deep knowledge of CAIS/CAT, DMA and Large Trader Rules.
#J-18808-LjbffrSenior Regulatory Oversight Associate in pasadena at Unknown Company
This position is listed as full time and onsite.