by Bill Singer
EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM
July 12, 2011
EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM
From Stuart Rosenthal of Rosenthal Recruiting. The below may be seen at the
Rosenthal Recruiting Job Board
Compliance Manager - Asset Management ortfolio monitoring system for an Registered Investment Adviser (RIA), or other asset management department, hedge fund or financial institution. $140,000. More
Senior Associate or Counsel - Requires: Knowledge of FINRA rules, regulations, and experience advising financial institutions, particularly relating to Securities Offerings. More
Registration Compliance/CRD Officer Requires: FINRA CRD filings, U-4, U-5., Web CRD. Jersey City, NJ. Base salary up to $75,000 + bonus. Read More.
Options Market Making Compliance Base salary up to $165,000 per year + bonus. Series 7 required and 55, 4, 24 registrations. Must possess a superior understanding of FINRA and SEC regulatory structure, Order Handling Rules and Best Execution, Regs NMS and SHO, including Rule 204T. Read More.
Securities Counsel - Blue Sky Practice Leading US Law Firm - New York Office Counsel Level. JD 2003 - 2006 ideally. Read More.
ISDA Negotiator - Attorney and Negotiator 5+ Years Required: Negotiating Master Agreements with Pension Plans and Investment Advisors. Vice President (VP) to Director level: Candidates with 7 + years of negotiating experience or more will be considered. JD preferred. Salary Up to: $200,000 Read More
Hedge Fund Compliance Officer New York. Manage, implement and maintain compliance program. Design new compliance initiatives as Regulations, Legal, Compliance and business requirements evolve. Salary: $120,000.Read More.
Paralegal - Investment Management 3+ years working for Mutual Fund Up to $75,000 with up to 20% bonus potential. Near Washington DC. Relocation reimbursement is available. Read More
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