- Morgan Stanley (New York, NY)
- …develop other team members where required, including task allocation, and project contribution - Consolidated Audit Trail ( CAT ) Expert: The individual ... and governance & metrics - Experience with transaction reporting preferably in FINRA Consolidated Audit Trail ( CAT ) - Experience in automation platforms… more
- Mizuho Corporate Bank (New York, NY)
- …Authority (FINRA), and those of the applicable exchanges. Experience with Nasdaq Workstation (ACT), Consolidated Audit Trail ( CAT ), and FINRA TRAQS (ORF ... & TRACE) Knowledge of best practices, and surveillance procedures of securities industry compliance reviews Strong organizational and delivery skills Excellent written, verbal and analytical skills with the ability to express ideas in a persuasive, confident,… more