- NatWest Markets (Stamford, CT)
- Broker Dealer Advisory - VP Stamford,United States Permanent Full Time \#R-00246157 Our people work differently depending on their jobs and needs. From ... the department and the business._ **Job Description** The Compliance Advisory Officer reporting to the Compliance Advisory ...team andcross-functionally. The ideal candidate will have experience with broker - dealer and swap dealer rules… more
- SMBC (New York, NY)
- …Product, Underwriting, Risk Management, Compliance, IT Risk and Training committees. The Compliance Advisory Vice President role assists in managing a ... within SMBC Nikko Securities Inc. serves as a regulatory advisory function to the President and is...regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- Morgan Stanley (Purchase, NY)
- …Legal and Compliance Division is seeking to hire an Executive Director or Vice President (commensurate with experience) to provide legal coverage for its ... *Wealth Management Capital Markets Attorney VP /ED* *Company Profile:* Morgan Stanley is a leading...preferably with a financial services firm (including a bank, broker - dealer or private equity fund). * Experience… more