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Sr Compliance Officer (4-7-9-10-24-63 Licenses) seeks job with Medium/Large Global Firm in NY Metro area. Experience: Institutional, Retail, Trade Desks (Options, Equity, FI, Cap Mkts Products), E-Comm., Reg'y Exams, People Manager, Send Inquiries, Contact Info for candidate through Howard@Compliance-Insights.com.
Well-known NY-based Global Trading House needs full-time Compliance Officer for Futures and Commodities. Reqs: 5-7 years, Series 14-24-27-63 Licenses, Working Knowledge of Regs, Practices of SEC, FINRA, CFTC, NFA, & Major Exchanges. Cover & Resume to Recruiter: email@example.com