Capital Markets Compliance Specialist
LevelUP HCS
Job Description
Investment Bank Fixed Income Compliance Specialist
Role:
- Must have Capital Markets Compliance Advisory Experience : Equities Compliance, Equity Derivatives, Futures Compliance, Fixed Income Compliance, Front Office Advisory, New Product Approval
- Regulatory Expertise (SEC, FINRA & Broker-Dealer Rules)
- Control Framework, Policies & Stakeholder Management
- Must 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 regulatory knowledge
- Experience advising Front Office stakeholders, supporting regulatory examinations, and maintaining compliance policies, procedures, and risk frameworks
Vacancy posted 22 days ago
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