proper operations of the department and the business. Broker Dealer Testing VP This role will report to the Head... will also be responsible for reporting and escalating controls issues and any potential violations of laws or breaches of policy...
) facilitate the prevention of E-Trading risks, such as market, conduct risk & algorithmic trading risk. Reporting to the US Head... with knowledge of financial services businesses and technology. Strong knowledge of U.S. regulations, including FINRA and SEC rules...
US Operations (CUSO) seeks an experienced individual to join the department and report to the CUSO Head of Central Compliance, being... reporting to be shared with Compliance management, Internal Audit, Business Partners and Regulators. · Maintain and enhance...
to join the department and report to the CUSO Head of Central Compliance, being responsible for coordinating the Regulatory Watch...) and prepare reporting to be shared with Compliance management, Internal Audit, Business Partners and Regulators. · Maintain...