Compliance – Broker/Dealer
NY-New York, Compliance – Broker/Dealer Retail Broker/Dealer located in New York City is currently seeking a qualified individual for their expanding compliance department. Responsibilities consist of: Equity/fixed income transaction review, various compliance projects, AML, email surveilance, WEB CRD registrations, Form B/D Amendments, Regulatory requests and interacting with regulators, etc; Additional dutie …read more
