G MASS Consulting are supporting a global investment bank with the build-out of a US-facing securities operations... and regulatory oversight capability. This is a multi-hire programme spanning junior through senior levels, focused on post-trade...
, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce... people and possibilities. Job Description Provide regulatory compliance support to IQEQ’s investment adviser clients...
, accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce... people and possibilities. Job Description Provide regulatory compliance support to IQEQ's investment adviser clients...
expertise. You’re equipped to handle complex compliance responsibilities independently, contributing to regulatory oversight..., accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce...
expertise. You're equipped to handle complex compliance responsibilities independently, contributing to regulatory oversight..., accounting, reporting, regulatory and compliance needs of the investment sector worldwide. We employ a global workforce...
review and oversight of FINRA Rule 4210, and associated regulatory requirements, as applicable to all accounts held by Apex... - presented by Global Fintech Awards ABOUT THIS ROLE The Operations Specialist (Margin) will assist in the comprehensive...
problems for our clients. We are a leading global financial services firm providing investment banking, securities... by collaborating across teams, mentoring junior colleagues, and providing oversight to resolve client challenges swiftly. Demonstrate...
on developing smart control solutions. Our group has unique insight on the financial industry and its products and operations. We're... looking for detail-oriented team players who have an interest in financial markets and want to gain insight into the firm's operations...
Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets... with regulatory requirements and safeguarding the integrity of our financial services. You will work closely with internal...
Inc.: As an SEC registered FINRA member, we provide retail investors access to both U.S. and Asian securities markets... with regulatory requirements and safeguarding the integrity of our financial services. You will work closely with internal...
to Chief Compliance Officer (CCO) for TCBI Securities, Inc., the Director of Compliance assists the CCO with the design..., municipal finance, swaps/derivatives/FX, equity research and operations. As a senior member of the Investment Bank’s compliance...
responses to regulatory examinations, internal audits, and risk assessments. Drive continuous improvement in risk oversight..., Capital, and Market Risk (LCMR) team within the Risk Organization is responsible for the independent oversight and effective...