TRADE COMPLIANCE OFFICER jobs in NEW YORK CITY NY, United Kingdom

Hold Brothers Capital, LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate/Officer... Compliance Officer to join our team. The Compliance Officer will be responsible for ensuring compliance with all relevant...

and services in capital market activities, investment banking, structured finance, commercial banking and international trade. The... Job description Business type Types of Jobs - Compliance / Financial Security Job title Investment Banking and Regulatory Compliance...

and services in capital market activities, investment banking, structured finance, commercial banking and international trade. The... Job description Business type Types of Jobs - Compliance / Financial Security Job title Investment Banking and Regulatory Compliance...

Compliance officer to join their team in New York. The role will primarily focus on Surveillance (Trade Activity...)) on multiple exchanges, trading platforms and venues with an opportunity to gain exposure to a wider range of compliance activities...

Job Purpose Compliance officer that will be responsible for supporting the local compliance program and related... Support the local compliance monitoring and testing program and accompanying schedules, perform testing for select trade...

Job Purpose Compliance officer that will be responsible for supporting the local compliance program and related... Support the local compliance monitoring and testing program and accompanying schedules, perform testing for select trade...

Compliance officer to join their team in New York. The role will primarily focus on Surveillance (Trade Activity...)) on multiple exchanges, trading platforms and venues with an opportunity to gain exposure to a wider range of compliance activities...

of benefits to its employees. Role Description The successful candidate will serve as the Chief Compliance Officer (CCO... and procedures. Oversee the development and maintenance of trade compliance programs, policies, and automated systems, including...

Job description Business type Types of Jobs - Compliance / Financial Security Job title AML / OFAC Compliance Officer / Advisory... and services in capital market activities, investment banking, structured finance, commercial banking and international trade. The...

Job description Business type Types of Jobs - Compliance / Financial Security Job title AML / OFAC Compliance Officer / Advisory... and services in capital market activities, investment banking, structured finance, commercial banking and international trade. The...

Job Description: Job Title Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Rates... policies and procedures Provide regulatory/compliance training; assist the Business in implementing and documenting various...

, Compliance, and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large... holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo...

CMG function within the Investment & Corporate Banking Regulatory Compliance (“ICBRC”) group for CACIB worldwide. The... Compliance and business controls, and the execution of Compliance controls. Primary Responsibilities Maintain the information...

holding company of SMBC Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo... candidate should have a strong functional knowledge of the Volcker rule, and be able to implement, and manage SMBC's compliance...

Business Divisions Group Functions Your role Are you a Compliance Professional who likes taking on responsibility...? We are looking for someone like this to: Liaise with senior management in the equities derivatives business and functional leaders in compliance, legal, risk...

: 8-5 Working Location: 151 W 42nd street New York [Hybrid] Role Mandate: The Compliance Officer assists Compliance...Job Description: Position Title: Compliance Analyst Line of Business: Capital Markets - Equities Est. Start...

Summary: The Compliance Officer assists Compliance management in the effective implementation, maintenance, and administration...Compliance Analyst Job Summary: Talent Software Services is in search of a Compliance Analyst for a contract position...