VP Equity Compliance

New York, NY

Posted: 11/13/2017 Industry: FIN Perm Job Number: 10258492
The Compliance group works with senior management and other departments within the bank to ensure there is a structure in place to enable the client to comply with applicable federal, state and securities rules and regulations.

Candidate should have understanding of Equity product Compliance and the reports that go with it (OATS, Blue Sheets, LOPR, INSITE, Reg Sho)

Barry Whelan

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