Regulatory Broker Dealer Securities Attorney Jobs

Swap Dealer Compliance Officer The candidate will ... The candidate will manage swap dealer compliance program including assessing and ... and education process and on-going regulatory interactions. Providing real time..

Senior Counsel, Regulatory Attorney The candidate will report directly ... will be responsible for providing regulatory and business legal advice relating ... business legal advice relating to broker-dealers and dual..

... and inter-departmental initiatives, advise on regulatory policy formulation and provide expert ... and provide expert guidance on regulatory matters for the Market Regulation ... and approval function for existing..