Summary Global Markets Regulatory Compliance (“GMRC”) Advisory – Americas Director is responsible for providing advice on Swap Dealer and Broker Dealer regulations (including the global impact of relevant U.S.
Summary: This position is placed within the Advisory group of the Financial Security team. The position's main responsibilities are centered on the following: reviewing and validating high risk KYC files,...
Overview: Manages the compliance program for insurance sales...
Job Description Job Title: Fixed Income Compliance Officer Location: New York, NY Firm Overview: Cantor Fitzgerald L.P., with over 12,000 employees, has...
Job Overview If you find yourself at a professional crossroads, a career as a financial advisor may be the right change for you. Financial advisors partner with clients to help them achieve their long-term financial goals:...
Job Title: Investment Banking Analyst, M&A Advisory Department: Investment Banking, Biopharma Location: New York, NY Salary Range: $110,000-$125,000 The M&A Analyst will be a key member of an...
Responsibilities The candidate will be responsible for leading the execution of Testing reviews as part of the risk-based Annual Compliance Testing plan. The Testing reviews aim at assessing and auditing the quality of the controls in place to...
**TRADER** **WHAT IS THE OPPORTUNITY?** Ensures that all equity, mutual fund, and ETF trades are executed accurately at Pershing and with all other outside custodians in a timely manner. Responsible for trade settlement and...
Role: Senior Analyst, Third-Party Risk Management Location: Hybrid role in NYC Duration: 12-month contract Pay Rate: Up to $52/hr W2 (Benefits: Medical, Dental, Vision,...
Top-Tier Investment Management Company in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance! Responsibilities: Develop, maintain and implement compliance...