Chief Compliance Officer-Institutional Securities

Details

Country: USA
Location: Maryland-Baltimore Baltimore, MD 21201
Total applied: 40
Salary/Wage:Extremely lucrative compensation package + relocation!
Job Category:Accounting/Finance/Insurance
Relevant Work Experience:10+ to 15 Years
Education Level:Bachelor's Degree
Location:Baltimore, MD 21201
Status:Full Time, Employee
Occupations:Corporate Finance;Investment Management;Corporate Accounting
Career Level:Executive (SVP, VP, Department Head, etc)
Relevant Work Experience:10+ to 15 Years

Our client, a highly reputable Regional Bank expanding in the Mid-Atlantic area and noted as one of â€œthe best places to workâ€ by Baltimore magazine, seeks experienced professional to manage their Institutional Securities/Non Retail Broker Dealer Compliance function. Will provide compliance support for sophisticated products to include corporate, municipal, US treasuries and other debt securities, also private placements, derivatives, options, FX and REITS. Will be responsible for policies and procedures for Institutional trading. Will handle regulator examinations and respond to general trader inquiries.

Must have trading desk experience, a strong understanding of MSRB rules and how they work. Seek strong understanding of Municipal and Fixed income products and legislation. Must have a minimum of 5 years Securities Compliance experience plus a minimum of 2 years in management. Must have Series 7, 24 and 53 licenses. Bachelors Degree required. Experience working with FINRA, NYSE and the SEC is also required.

Lucrative compensation package. Client will assist with relocation if out of the area.

For confidential consideration please call, send or email resume to:

Kathy Vavrick, Search Consultant

Cochran, Cochran & Yale, LLC

Kathyv@ccy.com

585-424-6060

- Apply for Chief Compliance Officer-Institutional Securities

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