Equity Derivatives Compliance Officer
LevelUP HCS
Investment Banking Equity Derivatives Compliance Officer
Role:
- Capital Markets Compliance Advisory Experience : Equities Compliance, Equity Derivatives, Futures, Capital Markets Compliance, Broker-Dealer Compliance, Front Office Advisory
- Regulatory Expertise (SEC, FINRA & Broker-Dealer Rules) : understanding of SEC, FINRA, and SRO regulations
- Stakeholder Management & Risk Advisory
- 5+ years of experience supporting Equities, Equity Derivatives, and Futures businesses within a broker-dealer or investment banking environment, possessing strong SEC/FINRA regulatory expertise
- Excellent stakeholder management skills, and a proven ability to provide practical compliance guidance to Front Office teams and senior management.
Vacancy posted 1 day ago
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