Compliance Officer Control Group - Citi - New York, NY
The candidate will review transactions for materiality, trading restrictions, potential conflicts of interest, and track transactions through completion by... From Citi - 16 Dec 2014 14:22:14 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
ANALYST, SALES & TRADING COMPLIANCE - Stifel Nicolaus - New York, NY
Responsible for maintaining an effective trading compliance program through monitoring and surveillance sales and trading activities (reviews consist of best... From Stifel Nicolaus - 13 Dec 2014 07:17:32 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Compliance Analyst - ACS Group - San Francisco, CA
Monitor daily pre-trade and post-trade alerts. The Portfolio Compliance Analyst reports to the Portfolio Compliance Manager and will require daily interaction... From Indeed - 11 Dec 2014 22:10:39 GMT - View all San Francisco jobs View full post on Trader Jobs | Indeed.com
Portfolio Compliance Analyst - ACS Group - San Francisco, CA
Monitor daily pre-trade and post-trade alerts. The Portfolio Compliance Analyst reports to the Portfolio Compliance Manager and will require daily interaction... From Indeed - 11 Dec 2014 22:10:39 GMT - View all San Francisco jobs View full post on Trader Jobs | Indeed.com
Senior Compliance Officer - UBS - New York, NY
Assists with guideline monitoring activities as they relate to the firms Registered Investment Company, UCITS Fund and Private fund activities.... From UBS - 02 Dec 2014 17:05:52 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Control Group Compliance Officer - Citi - New York, NY
The candidate will determine what issuers/transactions need to be populated on the Firm's Watch and/or Restricted Lists as required by various securities laws... From Citi - 01 Dec 2014 14:21:14 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Equities Compliance Officer - UBS - New York, NY
The compliance officer will provide advice and guidance to traders, sales persons and technology personnel regarding regulatory requirements for the trading and... From UBS - 18 Nov 2014 22:08:50 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Compliance Manager - Cargill - Houston, TX
Review and analyze trade data to identify areas of potential risks on non-compliance and provide recommendations to improve compliance behavior.... From Cargill - 05 Nov 2014 07:28:38 GMT - View all Houston jobs View full post on Trader Jobs | Indeed.com
Trade Compliance Analyst
Job ID: 13835 Position Description: The Trade Compliance group is responsible for completing post trade analysis of all Newport Beach trades to ensure compliance of those trades with the respective client's guidelines. This is a fast paced environment as all trade must be confirmed by View full post on All Trading Jobs: eFinancialCareers.com
Senior Compliance Officer, Competitive - New York, US
Our client, a New York-based Fortune 500 company, is seeking a Senior Compliance Officer to support their OTC trading platform and swap dealer. View full post on exec-appointments.com: Trading Jobs