Chief Compliance Officer/General Counsel, Competitive compensation - New York, NY, USA
Our client, an approximately $6 billion diversified investment management firm, is seeking a General Counsel/Chief Compliance Officer to be responsible for the administration of its legal and compliance program. It specializes in convertible, high yield and equity strategies offered through long only, hedge-fund and NYSE closed-end mutual fund products. View full post on exec-appointments.com: Trading […]
Chief Compliance Officer, Competitive compensation - New York, NY, USA
Our client, an approximately $6 billion diversified investment management firm, is seeking a General Counsel/Chief Compliance Officer to be responsible for the administration of its legal and compliance program. It specializes in convertible, high yield and equity strategies offered through long only, hedge-fund and NYSE closed-end mutual fund products. View full post on exec-appointments.com: Trading […]
Futures Compliance Officer, Competitive compensation - New York, NY, USA
Our client, a global financial institution, is seeking a Futures Compliance Officer to support their growing U.S. operations. There is plenty of room for career growth in this role and you could make an instant impact in this group. This candidate will focus on the advisory, monitoring, and surveillance of the futures business. View full […]
Equities Derivatives Compliance Officer, Competitive compensation - New York, NY, USA
Our client is a top-tier global financial services firm that provides large corporate, government and institutional clients with a full spectrum of solutions to their strategic advisory, financing and risk management needs. They are also engaged in retail banking, credit cards, corporate banking, and wealth and investment management. View full post on exec-appointments.com: Trading Jobs
Head of Compliance - Europe, £1,000 - £1,500 per day - London, UK
Lead Compliance function for highly regarded asset manager Interim and permanent opportunity View full post on exec-appointments.com: Trading Jobs
Portfolio Compliance Analyst
Apply for Job Here POSITION OVERVIEW The Portfolio Compliance Analyst will assist the Chief Compliance Officer in implementing controls and monitoring the activities of the Firm to ensure compliance with ethical and regulatory standards. JOB FUNCTIONS Portfolio Compliance Perform daily reviews to ensure client guidelines are being properly followed; Enter new client, regulatory or other […]
Capital Markets - Compliance Consultant, £85,000 to £100,000 - City of London, UK
My clients Banking & Capital Markets, Finance Governance business has a reputation in the market for providing high quality, innovative advice to Banks and institutions looking to improve their internal controls. We are urgently looking for a Consulting Compliance Manager to join an expanding Capital Markets practice. The remit is to develop, sell and deliver […]
Trading Compliance Specialist - Compliance Search - New York, NY
Additional Responsibilities: Conduct overall trader surveillance, including identifying and escalating... with Portfolio Managers and Traders and build smooth... From Compliance Search - 28 Nov 2011 18:53:11 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Trading Compliance Specialist
Apply for Job Here Top-tier investment adviser is seeking a Trading Compliance Specialist with primary responsibilities for implementing, testing, and reviewing investment guidelines and restrictions and analyzing securities for appropriate set-up on the Adviser’s trading platform. Responsibilities:• Conduct overall trader surveillance, including identifying and escalating potential trading issues • Perform and document quarterly trade […]
Compliance, Assistant Manager, Highly Competitive - Hong Kong, China
My client, a leading fund house specialising in the world's emerging markets, are seeking a senior marketing manager to join their team in Hong Kong. With over US$50 billion of assets under management and offices based in strategic locations around the globe, the company are one of the world's leading equity investors in emerging markets. […]