Search Results for: Anti-Money Laundering
Found 2 result(s).
Broker-Dealer / ATS creation
US$ 50.00
Clear expectations: 1) Lead FINRA's new membership application process for a broker-dealer 2) Develop an operational framework for Reg D and Reg A+ offerings and have familiarity with AML/KYC. 3) Establish market-making capabilities on partner ATS platforms 4) Source and negotiate with vendors and service providers 5) Test financial software systems and ensure regulatory compliance 6) Run day-to-d...
Job Type: Hourly: $50.00 - $120.00
Customer Service Anti-Money Laundering Financial Disclosure SEC Regulation Mergers & Acquisitions Stock Issuance Administrative Support