Summary. Siebert Williams Shank & Co., LLC (“SWS” or the “Firm”) (a FINRA-registered broker / dealer) is seeking to add a motivated compliance professional to assist the Compliance team led by the Chief Compliance Officer. The successful candidate will support compliance efforts including but not limited to training, branch office exams, FINRA licensing and registrations, anti-money laundering supervision. SWS is a full-service investment banking...
Siebert Williams Shank & Co., LLC (“SWS” or the “Firm”) (a FINRA-registered broker/dealer) is seeking to add a motivated compliance professional to assist the Compliance team led by the Chief Compliance Officer. The successful candidate will support compliance efforts including but not limited to training, branch office exams, FINRA licensing and registrations, anti-money laundering supervision. SWS is a full-service investment banking and financ...
Siebert Williams Shank & Co., LLC ( SWS ) is seeking to expand its Institutional Fixed Income Sales desk. We are a fast-growing, top-ranked financial services firm that provides investment banking, sales, trading and research services to a broad and ever-expanding list of corporate and municipal clients across the nation. SWS was named 2021 US Diversity & Inclusion I-Bank of the Year by International Financing Review. Our 130 diverse professional...
