VP Compliance- Trading Floor – New York, NY US
Posted by Ric Ward on October 27th, 2009
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The role of the Divisional Compliance Officer is to articulate and maintain the standards of conduct required of the Firm’s businesses as well as the laws, regulations and policies governing these equity and credit businesses in order to assist the Firm in avoiding economic, regulatory and legal liability and risk to reputation. Divisional Compliance provides coverage support to the Division’s functional (including sales, trading, and capital markets) and product areas (equities,
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VP Compliance- Trading Floor – New York, NY US
