ELECTRONIC TRADING REGULATORY RISK jobs in UNITED STATES, United Kingdom

and other Control Functions to enhance risk management across electronic trading perform post trade monitoring of supervisory controls... processes assist in the investigation and response to electronic trading issues, internal reviews and regulatory inquiries...

: Coordinated risk oversight of electronic trading for FICC, Equities and/or Futures and Options flows focused primarily on AMRS..., and associated metrics for risk appetite and limits, reporting violations of compliance or regulatory activities Assists in the...

The Principal Trading Regulatory Liaison (“TRL”) position within T&E (“Trading & Execution”) is an experienced... Exchanges. The TRL is responsible for identifying and recommending the regulatory risks at firms as part of the risk-based...

regulatory change management, enterprise compliance, pre-trade / post-trade controls, electronic trading, front line risk..., Technology Solution Delivery (Regulatory Compliance - Non-Financial Risk) Financial Services Office (Manager) (Multiple Positions...

: As a Sales & Trading Controls Specialist / Electronic Trading Risk Manager you will develop an in-depth knowledge of the... trading floor. RESPONSIBILITIES AND QUALIFICATIONS The Global Banking & Markets Operating Risk organization is responsible...

settlement to reduce risk of interest claims. Confirm and clear eligible IRS, CDS and NDF positions. Assist the trading desk in...Hedge Fund/Family Office Consultant - Trading Assistant Join our experienced roster of consultants that support Hedge...

abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas...Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Surveillance team responsible...

for all automated trading capabilities in Cash Equities Job Summary As a Execution Consulting/Project Manager within the Electronic.... Maintain a working knowledge of equities trading, market structure, and the equities market regulatory landscape. Ensure...

to mitigate reputational and regulatory risk to the firm. The review process will mainly focus on possible breaches of the law...About The Role This individual will be responsible for reviewing the electronic communications of Mizuho employees...

Working under limited supervision and guidance, this role supports the Senior Director, Regulatory Advisor, in... providing critical strategic support to Member Supervision (MS) and the Vice President, Regulatory Advisor and Stakeholder...

. This role may focus on multiple forms of regulatory reporting, such as Electronic Blue Sheets, OATS, LOPR, Short Interest, TRACE... regulatory reports including: Electronic Blue Sheets, Qualified Financial Contracts (QFC), Listed and OTC Large Option Position...

and regulatory risk and recommend process enhancements where appropriate. Qualifications 5-10+ years of experience in AML... to offer our clients the best trading platform with the most sophisticated features at the lowest cost. Software development is the...

recommendations with respect to regulatory intelligence. Mentor and coach more junior level risk monitoring staff. Serve in...Responsible for conducting risk monitoring activities and ongoing risk assessments of FINRA members reporting to a Risk...

, medium-low, and medium-high risk and complexity with moderate supervision. Conducts and memorializes discovery and risk reviews... of low to medium-high risk and complexity. Participates in reviews of high risk and complexity under general supervision...

, medium-low, and medium-high risk and complexity with moderate supervision. Conducts and memorializes discovery and risk reviews... of low to medium-high risk and complexity. Participates in reviews of high risk and complexity under general supervision...

functions and business partners such as, Enterprise Risk Management, Global CyberSecurity, etc. · Facilitate the regulatory... strategic thinker with an understanding of technology, regulatory, and operational risk in financial services · Knowledge...

businesses. Focus on Electronic Trading and drive the evolution of the Electronic Trading Risk Management Framework including...Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance (RM&C), you are at the center...