- Unknown (New York, NY)
- …the issue management workstream, developing and managing key relationships with E- Trading businesses, technology, risk, and compliance functions, and ... Senior Vice President, Markets E- Trading Risk & Controls About the Company Renowned...of relevant work experience in business risk and controls, compliance , or audit. Key responsibilities for the SVP include… more
- Unknown (Bridgeport, CT)
- …close working relationships with Portfolio Managers and Traders, providing expert advice on compliance with investment and trading laws, and coordinating on ESG ... Vice President of Investment Compliance About the Company Accomplished investment management firm...The Company is seeking a Vice President for Investment Compliance to join its dynamic team. The successful candidate… more
- Unknown (New York, NY)
- Head of Fixed Income Compliance About the Company Globally recognized financial services firm Industry Financial Services Type Public Company Founded 2016 Employees ... is in search of a Head of Fixed Income Compliance to join their dynamic team. The successful candidate... advice and support to the firm's fixed income trading and operational functions. This pivotal role involves managing… more
- Unknown (Chicago, IL)
- Chief Compliance Officer About the Company Well-established futures trading platform Industry Financial Services Type Privately Held About the Role The Company ... is seeking a Chief Compliance Officer to join their team. The successful candidate...interpreting regulatory requirements from various authorities, developing and maintaining compliance policies and procedures, and conducting regular compliance… more
- Unknown (New York, NY)
- Senior Vice President, Registered Funds Compliance About the Company Top-tier provider of investment management, research & trading services Industry Financial ... The Company is in search of a Senior Vice President for Registered Funds Compliance . This executive-level position is pivotal in overseeing the firm's compliance … more
- Unknown (Boston, MA)
- Chief Compliance Officer About the Company Pioneering healthcare solutions provider for the agriculture industry Industry Hospital & Health Care Type Privately Held ... About the Role The Company is seeking a Chief Compliance Officer to join their team. The successful candidate...have experience with commission vs. advisory business, knowledge of trading , and be familiar with OATS/CATS and TRACE reporting.… more
- Unknown (Manhattan, NY)
- Vice President of Compliance and Regulatory Exams About the Company Well-established broker dealer Industry Insurance Type Privately Held About the Role The Company ... is seeking a VP Compliance with a focus on Regulatory Exams to join...functions, including operations, finance, regulatory reporting, and sales and trading . This role involves preparing business personnel for meetings… more
- Unknown (New York, NY)
- Managing Director, Head of Compliance , Trade Surveillance and Communications About the Company Prestigious broker dealer Industry Insurance Type Privately Held About ... Role The Company is seeking an MD, Head of Compliance , Trade Surveillance, and Communications to lead a team..., particularly in the areas of market abuse, disorderly trading , and insider dealing. The position requires the ability… more
- Unknown (New York, NY)
- Vice President, Compliance About the Company Prominent financial institution with a global reach Industry Financial Services Type Privately Held About the Role The ... Company is in search of a Senior Compliance Officer to take on a pivotal role within...ability to identify and address potential conflicts of interest and trading restrictions. Travel Percent Less than 10% Functions… more
- Unknown (Jersey City, NJ)
- Vice President, Compliance Training About the Company Internationally recognized banking group Industry Financial Services Type Subsidiary of a Public Company ... & institutional client banking derivatives equity research sales & trading fx / treasury services global trade finance lease...the Role The Company is in search of a Compliance Training Vice President to join their dynamic team.… more
- Unknown (Tampa, FL)
- Vice President, Compliance & Operational Risk Testing About the Company Diverse financial services firm & investment bank Industry Financial Services Type Public ... Vice President to join their Specialized Testing Team within the Compliance , Conduct, and Operational Risk (CCOR) organization. The successful candidate will… more
- Unknown (Tampa, FL)
- Vice President, Compliance & Operations Risk Testing About the Company Diverse financial services firm & investment bank Industry Financial Services Type Public ... Vice President to join their Specialized Testing Team within the Compliance , Conduct, and Operational Risk (CCOR) organization. The successful candidate will… more
- Larson Wealth Partners, LLC (Indianapolis, IN)
- …Collaboration & Oversight Partner closely with the Investment Team, Operations, and Compliance to maintain accuracy and control. Provide trading insight and ... This role blends portfolio implementation, options overlays, and tactical trading inside a growing investment platform serving high-net-worth and… more
- Unknown (New York, NY)
- …and liquidity risks. This includes ensuring that the risks from banking and trading activities are within acceptable levels, in compliance with regulations, and ... aligned with the risk appetite of the Branch. The role also involves producing market risk management reports for the Head Office and Executive Management, managing market risk control processes, and maintaining the integrity of stress testing and back-testing… more
- Unknown (New York, NY)
- …& Investing Credit Insurance Morgan Stanley Specialties sales & trading investment banking investment management prime brokerage research institutional consulting ... sanctions for the Institutional Securities Group (ISG) Sales & Trading businesses. This role is pivotal in ensuring the...businesses. This role is pivotal in ensuring the firm's compliance with legal and regulatory requirements, and the officer… more
- Unknown (Illinois City, IL)
- …calls for a professional with strong technical knowledge of US GAAP, tax compliance , and regulatory frameworks relevant to metals trading and processing. ... Vice President, Financial Controller About the Company Globally renowned metals trading & processing firm Industry Mining & Metals Type Privately Held About the Role… more
- Unknown (Fort Worth, TX)
- …News Media Publishing Digital Media Social Media B2C Apple Automated Trading Breaking News Business China Commodities Dow Jones Economics Entertainment Equities ... FX Finance Forex Trading Information Collection & Delivery Journalism Manhattan Migraines Mutual...Markets Media & Internet Specialties business news risk & compliance market intelligence private markets digital media wealth management… more
- Unknown (New York, NY)
- …News Media Publishing Digital Media Social Media B2C Apple Automated Trading Breaking News Business China Commodities Dow Jones Economics Entertainment Equities ... FX Finance Forex Trading Information Collection & Delivery Journalism Manhattan Migraines Mutual...Markets Media & Internet Specialties business news risk & compliance market intelligence private markets digital media wealth management… more
- Unknown (Princeton, NJ)
- …About the Company Expanding provider of investment management, research & trading services Industry Financial Services Type Public Company Founded 1792 Employees ... custodian etf financial products fund accounting relationship management research trading and investment servicing Business Classifications B2B About the Role… more
- Unknown (Boston, MA)
- …About the Company Expanding provider of investment management, research & trading services Industry Financial Services Type Public Company Founded 1792 Employees ... custodian etf financial products fund accounting relationship management research trading and investment servicing Business Classifications B2B About the Role… more
