Capital Markets Compliance Specialist
LevelUP HCS · New York, New York, United States
FULL TIME
Job Description
Investment Bank Fixed Income Compliance Specialist
Please ensure you read the below overview and requirements for this employment opportunity completely.
Role:Must have Capital Markets Compliance Advisory Experience : Equities Compliance, Equity Derivatives, Futures Compliance, Fixed Income Compliance, Front Office Advisory, New Product ApprovalRegulatory Expertise (SEC, FINRA & Broker-Dealer Rules)Control Framework, Policies & Stakeholder ManagementMust have 3-7+ years of experience supporting Equities, Equity Derivatives, Futures, or Fixed Income businesses within an investment bank or broker-dealer, possessing strong SEC/FINRA xzbcwsv regulatory knowledgeExperience advising Front Office stakeholders, supporting regulatory examinations, and maintaining compliance policies, procedures, and risk frameworks
Please ensure you read the below overview and requirements for this employment opportunity completely.
Role:Must have Capital Markets Compliance Advisory Experience : Equities Compliance, Equity Derivatives, Futures Compliance, Fixed Income Compliance, Front Office Advisory, New Product ApprovalRegulatory Expertise (SEC, FINRA & Broker-Dealer Rules)Control Framework, Policies & Stakeholder ManagementMust have 3-7+ years of experience supporting Equities, Equity Derivatives, Futures, or Fixed Income businesses within an investment bank or broker-dealer, possessing strong SEC/FINRA xzbcwsv regulatory knowledgeExperience advising Front Office stakeholders, supporting regulatory examinations, and maintaining compliance policies, procedures, and risk frameworks
Details
| Company | LevelUP HCS |
| Location | New York, New York, United States |
| Type | FULL TIME |
| Niche | finance |