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The candidate will advise on local regulatory requirements relating to payments, foreign exchange and derivatives (forwards and options), counseling stakeholders on risks associated with strategic initiatives in the region, research and monitor laws in coordination with local counsel, support regulatory...
Compliance Advisor Duties: Performs a compliance support role in Capital One Securities, an institutional broker dealer that offers institutional research, sales and equity trading as well as investment banking services. Works under the direction of Capital One Securities’ Chief Compliance...
Compliance Advisory Duties: Performs a compliance support role in Capital One Securities, an institutional broker dealer that offers institutional research, sales and equity trading as well as investment banking services. Works under the direction of Capital One Securities’ Chief...
Risk Monitoring Analyst – Clearing / Diversified The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of company members reporting to a Risk Monitoring Director. Conducts risk monitoring activities, that can include complex or elevated...
Analyst, Capital Markets and Investment Banking Services, Niche / Other and Private Placement - Institutional Investors The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of company members reporting to a Risk Monitoring Director. Conducts...
Analyst, Capital Markets M&A, Investment Banking The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of company members reporting to a Risk Monitoring Director. Conducts risk monitoring activities, that can include complex or elevated risk...
Principal Analyst, Capital Markets M&A Investment Banking The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. This is a mid-level position with staff developing in role and...
Monitoring Analyst - Member Supervision, Capital Markets The candidate will br responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Conducts risk monitoring activities, that can include complex or elevated...
Monitoring Analyst - Capital Markets The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk Monitoring Director. Conducts risk monitoring for member firms that can include complex or elevated...
Principal Analyst, Capital Markets M&A Investment Banking The candidate will be responsible for conducting risk monitoring activities and ongoing risk assessments of members reporting to a Risk Monitoring Director. This is a mid-level position with staff developing in role and...