About this opportunity
Daiwa Capital Market lists this Director of Regulatory Compliance & Surveillance opportunity in new york, New York. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Daiwa Capital Markets America Inc. is seeking a Regulatory Compliance, Reporting & Surveillance Director in New York to lead key compliance programs across Institutional Equities, Fixed Income, Treasury and Futures.
The role partners with Front Office, Operations, Risk, Legal, IT and regulators to drive policy and control improvements. The ideal candidate has 10+ years in broker‑dealer compliance, strong regulatory reporting and surveillance expertise, and a track record of leadership in a
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Worksite address
new york, NY, 10261, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.