and Trading Compliance Officer ("Sales and Trading Compliance Officer") within Guggenheim Securities. The Sales and Trading... Compliance Officer advises and assists the Firm's Sales and Trading Divisions in establishing, implementing, and testing...
Job Description: Job Title Compliance Officer – Fixed Income Sales & Trading - Credit Corporate Title Vice... That Will Help You Excel Relevant experience providing compliance or legal coverage to a sales or trading Credit desk at a broker...
Job Description: Job Title Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading - Rates... That Will Help You Excel Relevant experience providing compliance or legal coverage to a sales or trading Rates or FX desk...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... for every future! Purpose The Conduct Compliance Officer coordinates tracking, measurement, and management for conduct...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... for every future! Purpose The Conduct Compliance Officer coordinates tracking, measurement, and management for conduct...
administration of Guggenheim Securities Compliance policies as it relates to personal trading and employee activities. The individual... Perform personal trading surveillance to ensure compliance with our personal trading policy. Deliver new hire Compliance...
, and knowledge. Provide day-to-day compliance support for equities securities trading and sales businesses by advising on the... with sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory environment...
, and knowledge. Provide day-to-day compliance support for equities securities trading and sales businesses by advising on the... with sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory environment...
the Compliance Calendar Trade surveillance including, but not limited to, insider trading, wash sales, spoofing, layering... employees Support Chief Compliance Officer and the and / or the Firm in any other ad hoc requests and tasks Experience: 2-4...
Job Summary Job Description What is the Opportunity? This role acts as Senior Compliance Officer primarily... responsible for providing oversight and advisory coverage to RBC Capital Markets, LLC’s Municipal Sales & Trading, Underwriting...
including but not limited to Investment Operations, Licensing, Compliance, and Sales Provides information to FCs...Popular Investments Service Brokerage We are currently looking for an experienced INVESTMENT OPERATIONS OFFICER...
including but not limited to Investment Operations, Licensing, Compliance, and Sales Provides information to FCs...Popular Investments Service Brokerage We are currently looking for an experienced INVESTMENT OPERATIONS OFFICER...
reports directly to the Nikko Sales & Trading BCO. Primary Responsibilities The job responsibilities are described herein...., supporting the Sales & Trading Vertical BCO Support Middle and Back office functions via performance of issue management & root...
. Guggenheim Securities offers services that fall into four broad categories: Advisory, Financing, Sales and Trading, and Research... Officer, this person will be responsible for overseeing the enterprise-wide data management strategy, data governance, data...
categories: Advisory, Financing, Sales and Trading, and Research. Guggenheim Securities is headquartered in New York... Chief Architect to join its Information Management Leadership team. Reporting directly to the Chief Information Officer...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... and initiatives and all audit activities are conducted / executed / delivered in compliance with governing regulations, internal...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... and initiatives and all audit activities are conducted / executed / delivered in compliance with governing regulations, internal...
and underpin the daily trading of more than $10 trillion of securities globally. A certified Great Place to Work®, Broadridge... opportunity of $25B. ICS provides technology-driven solutions to help clients meet their regulatory compliance needs and manage...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... for every future! Purpose This role contributes to the overall success of the Office of the Chief Operating Officer in the...
financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products... for every future! Purpose This role contributes to the overall success of the Office of the Chief Operating Officer in the...