responsibility and accountability to ensure FINRA compliance in the Institutional Broker Dealer. Primary Responsibilities... as institutional brokerage and securities underwriting. Position will lead and manage the broker-dealer compliance team responsible...
organization and will be located in Boston. They will report directly to Brian Harris, Chief Compliance Officer of SSGA Funds... and products 5 to 7 years’ relevant experience within asset management or broker/dealer compliance. JD or other advanced degree...