- Scotiabank (New York, NY)
- …Consolidated Audit Trail (CAT) requirements, etc. + Experience responding to FINRA regulatory inquiries and examination requests/findings. + Experience ... required. Post graduate degree (JD or MBA) a plus but not required. + FINRA Principal qualification (Series 24) or ability to obtain the qualification after… more
- Robert Half Legal (Chicago, IL)
- …as well as internal standards + Mange the process and consult with outside counsel and compliance consultants as directed on regulatory questions, filings and ... their team. The ideal candidate will have experience in a compliance or regulatory role, with experience in asset management and previous employment with a financial… more