Chief Compliance Officer - Akuna Capital - Chicago, IL
Conduct compliance related training seminars for traders and developers. Develop, implement, monitor and maintain compliance policies and procedures.... From Akuna Capital - 02 Oct 2015 18:54:31 GMT - View all Chicago jobs View full post on Trader Jobs | Indeed.com
Equity Sales & Trading Compliance Officer (VP) - Morgan Stanley - New York, NY
Provide advisory support to traders, sales traders, supervisors, Risk and IT on regulatory rules. The Group will coordinate, recommend, and execute plans to... From Morgan Stanley - 21 Sep 2015 16:33:58 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Director of Trading Compliance - Calpine - Houston, TX
Manages daily activities representing multiple functions/products/locations through first and second level management.... From Calpine - 07 Aug 2015 10:01:34 GMT - View all Houston jobs View full post on Trader Jobs | Indeed.com
Director of Investment Management Compliance - Bessemer Trust Company - New York, NY
Work closely with portfolio managers, traders and other advisor professionals to design and implement operational policies and procedures.... From Bessemer Trust Company - 05 Aug 2015 00:01:18 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Compliance Manager 3 - Wells Fargo - San Francisco, CA
Prepare material and participate in risk committees and other management meetings on behalf of the Swap Dealer;... From Wells Fargo - 01 Aug 2015 09:51:27 GMT - View all San Francisco jobs View full post on Trader Jobs | Indeed.com
Compliance Assurance Analyst - Koch Supply & Trading, LP - Wichita, KS
Additional projects and other activities will cover a variety topics and activities, depending on business needs.... From Koch Industries, Inc. - 03 Aug 2015 18:04:16 GMT - View all Wichita jobs View full post on Trader Jobs | Indeed.com
Volcker Testing Compliance Officer - UBS - Weehawken, NJ
The objective of testing is to evaluate the Firm's compliance program, internal controls, and management procedures.... From UBS - 01 Aug 2015 00:46:32 GMT - View all Weehawken jobs View full post on Trader Jobs | Indeed.com
Compliance Consultant 3 - Wells Fargo - Charlotte, NC
Participate in industry and WFS calls to understand and develop policies and procedures for proposed regulations impacting the Rates and Commodities LOBs.... From Wells Fargo - 28 Jul 2015 06:52:36 GMT - View all Charlotte jobs View full post on Trader Jobs | Indeed.com
Senior Compliance Officer Market Surveillance - Citi - Jersey City, NJ
A comprehensive understanding of the FX and futures markets is essential as is the ability to analyze trading data to discern patterns of potentially aberrant... From Citi - 18 Jul 2015 13:18:55 GMT - View all Jersey City jobs View full post on Trader Jobs | Indeed.com
Sr. Manager Retail Compliance - TD Ameritrade - Jersey City, NJ
Work with internal and external business partners to develop and complete Risk & Control Self-Assessments (RCSA’s) for program activities.... From TD Ameritrade - 08 Jul 2015 13:10:14 GMT - View all Jersey City jobs View full post on Trader Jobs | Indeed.com