Vice President
1 day ago
We are Wedbush Securities, a premier securities firm and investment bank. Our mission is to provide innovative financial solutions through our various divisions. We are committed to delivering exceptional customer service and fostering a culture of inclusion.
Role Overview:The Vice President, Capital Markets Compliance Officer will be responsible for advising on Capital Markets activities and creating policies to ensure compliance. This role requires extensive knowledge in equity and fixed income institutional trading, investment banking, and research activities.
Responsibilities:- Advisory role for Capital Markets activities
- Create and update Capital Markets policies
- Regularly test Capital Markets supervisors' work product
- Design and execute regulatory compliance testing for Capital Markets business
- Bachelor's Degree from an accredited university
- 10+ years of related experience in a broker/dealer operations and/or compliance position
- Understanding of FINRA, SEC and other regulatory requirements around trading and market making activities
$120,000 - $150,000 per annum, depending on experience. Comprehensive benefits package included.
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Operations Vice President
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Senior Vice President Data Governance
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Senior Vice President of Treasury
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Vice President of Clinical Development
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Senior Associate/Vice President Role
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Senior Vice President of Product Strategy
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Vice President of Software Development
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