VP Equity Compliance

New York, NY

Post Date: 11/13/2017 Job ID: 10258492 Industry: FIN Perm
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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