Compliance Analyst Job - Xcel Energy - Denver, CO
Monitor activities as directed by management and legal counsel. Perform routine compliance monitoring activities....From Xcel Energy - Tue, 06 Dec 2016 17:53:54 GMT - View all Denver jobs View full post on Trader Jobs | Indeed.com
Equity Advisory Surveillance and Compliance Officer - NYC - CIBC - New York, NY
Monitoring the daily sales and trading activities of CIBC’s cash and derivatives businesses. The authority to represent Compliance on internal projects relating...From CIBC - Thu, 03 Nov 2016 01:41:06 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Senior Compliance Specialist - Exchange Traded Funds - OppenheimerFunds - New York, NY
The primary responsibility of the Senior Compliance Specialist is to monitor trading on the New York ETF trade desk....From OppenheimerFunds - Sat, 29 Oct 2016 03:28:24 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Senior Investment Advisory Compliance Officer - UBS - New York, NY
Experience reviewing and analyzing trading data in order to identify potential violations of trade allocations procedures....From UBS - Sun, 16 Oct 2016 07:26:35 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Institutional Equity Compliance Officer - Morgan Stanley - New York, NY
The Group will coordinate, recommend, and execute plans to address potential issues, fulfill regulatory obligations and promote best practices....From Morgan Stanley - Wed, 07 Sep 2016 21:42:58 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Compliance Officer - FXCM - New York, NY
Build successful relationships with Business Managers and Business Owners to discuss risk-based issues, monitor status of findings and influence Management...From FXCM - Tue, 06 Sep 2016 15:19:14 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Equity Compliance VP - Morgan Stanley - New York, NY
Liaise with Testing Group to design equity business test plan for the year and execute quarterly compliance tests (e.g....From Morgan Stanley - Thu, 01 Sep 2016 16:31:38 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Electronic Communications Compliance Product Manager VP - DIR - Credit Suisse - New York, NY
Establish product performance and client satisfaction metrics and then gather, analyze and report on them; Global Product Manager accountable for the service...From Credit Suisse - Fri, 26 Aug 2016 02:57:55 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Securities Industry Compliance Mgr Job - Blue Cross and Blue Shield of Minnesota - Eagan, MN
Develop strong collaborative working relationships with all parts of the firm including portfolio managers, traders, research analysts, client relations,...From BlueCross BlueShield of Minnesota - Fri, 19 Aug 2016 22:04:08 GMT - View all Eagan jobs View full post on Trader Jobs | Indeed.com
Compliance Analyst - NinjaTrader - Chicago, IL
We are building products and services which empower active traders to easily analyze and react to data from the world’s leading financial markets in the hopes... From NinjaTrader - 29 Jul 2016 14:26:45 GMT - View all Chicago jobs View full post on Trader Jobs | Indeed.com