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... me Monday-Friday 212-279-7777 -Steve N COMPLIANCE OFFICER (Mid-Senior Level) ... in ... ... in this well-established Broker-Dealer Compliance Team Agency-focused Global Brokerage and ... IMPORTANT---> ADDITIONAL EXPERIENCE in IT-RELATED..
Electronic Trading Compliance & Operational Risk in New ... following key responsibilities: – The compliance officer will be responsible for ... divisions and functional leaders in compliance, legal, risk, and..
... US Head of Financial Crimes Compliance Trade Str Sector: Other Sub Sector: ... Entity The SVP, Financial Crime Compliance (FCC) Officer is responsible for ... and maintaining an effective..
Compliance Analyst - Employee Trade Surveillance in New York New ... York New York As a Compliance Analyst-Employee Trade Surveillance, you are responsible for ... employee personal trading activity for..
... Advisory Senior, Financial Services, Regulatory Compliance - Traded Products and Wealth ... Insurance Risk Type: Market Expertise: Regulatory/Compliance We are the only professional ... management , financial crimes, consumer..
... Job Function/Category: Energy Resources & Trade LLC Employment Type: Exempt Full ... key member of the Trading Operations/Compliance Department within PSEG Energy Resources ... within PSEG Energy Resources &..
Manager- Derivatives Compliance Advisor Sector: Asset Management Sub ... Traditional Asset Manager Risk Type: Regulatory/Compliance Expertise: Trading/Derivatives NYC 299 Park ... banking for good. Manager- Derivatives Compliance Advisor Title: Derivatives..
Client is seeking a Compliance Analyst to assist the Compliance Manager – Investment and Trade Compliance in the oversight of compliance of the asset management business ... portfolios and perform..
... Advisory Senior, Financial Services, Regulatory Compliance – Traded Products and Wealth ... wealth management, financial crimes, consumer compliance, and regulatory transformation. The ... managers deal with regulatory and..
AVP Senior Regulatory Compliance Officer – Trade Surveillance (Commodities) Sector: Asset Management ... Traditional Asset Manager Risk Type: Regulatory/Compliance Expertise: Regulatory/Compliance AVP Senior Regulatory Compliance Officer - Trade Surveillance (Commodities)..
Compliance Manager / Capital Markets Sector: ... Exchange Job Description Capital Markets Compliance Manager New York, NY Job ... York, NY Job description The Compliance Manager is responsible for engaging..
AVP Senior Regulatory Compliance Officer – Trade/E-Comms Surveillance (RBWM/PB) Sector: Asset Management ... Traditional Asset Manager Risk Type: Regulatory/Compliance Expertise: Regulatory/Compliance AVP Manager Regulatory Compliance Officers are aligned by regulation(s),..