SEC/FINRA Regulatory Controls & Operational Oversight - VP Country: United States of America Your Journey Starts..., Risk, Compliance, Audit, and Technology to help assess and escalate identified issues related to SEC/FINRA regulatory...
and Legal. To be successful as a Broker Dealer Regulatory Reporting VP, you should have: Expertise in SEC/FINRA Broker...Join Barclays as a Broker Dealer Regulatory Reporting VP, where you will have the chance to oversee the critical...
guidance and oversight to ensure all activities align with FINRA, SEC, NFA, and CFTC regulations and firm policies. Your deep... rules, trade practices, and operational controls, ensuring alignment with firm policy and regulatory expectations. Oversee...
activities align with FINRA, SEC, and other applicable regulatory frameworks. Develop and maintain policies, procedures... operational excellence and regulatory compliance. International and institutional experience is a strong plus, reflecting the...