- Wells Fargo (Charlotte, NC)
- …Business Aligned Compliance Team. This role within the Fixed Income Sales & Trading Compliance Team is a Business Aligned Compliance Officer (BACO) who ... inquiries and regulatory initiatives related to the Fixed Income Sales & Trading compliance program. Learn more about the career areas and lines of business at… more
- Wells Fargo (New York, NY)
- …the business aligned compliance functions on the Fixed Income Sales & Trading Compliance Team. Will be responsible for supporting the following coverage ... inquiries and regulatory initiatives related to the Fixed Income Sales & Trading compliance program + Execute on compliance activities related to the Fixed… more
- SMBC (New York, NY)
- …competitive portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory function and is responsible for ... overseeing the management of the broker dealer's compliance risk, and is represented by the Chief ...monitoring of the broker dealers public side sales and trading groups with a focus on all Fixed Income… more
- BlackRock (New York, NY)
- …in real time. Our investment software combines risk analytics with portfolio management, trading , compliance , and operations tools on a single platform to power ... informed decision-making, effective risk management, efficient trading , and operational scale. Through Aladdin, the firm offers to clients the same technology and… more
- Wells Fargo (New York, NY)
- …management or leadership experience **Desired Qualifications:** + 6+ years of industry experience in Trading , Controls or Compliance + A BS/BA degree or higher + ... Director level to provide leadership and management covering Equities, Electronic Trading , Structured Products Group and Volcker Risk Program **.** This position… more
- Citigroup (Getzville, NY)
- …extensively with a range of internal stakeholders including Front Office Sales and Trading Desks, Compliance , Legal, Finance and HR; alongside having significant ... + Provide analytic and administrative support to Front Office Sales and Trading on derivatives and securities transactions + Support trade capture management, Front… more
- ExxonMobil (Spring, TX)
- …* Compliance experience in futures, financial and physical commodities trading * Working knowledge of commodity regulations/reporting * Experience with risk ... in Our Team** Join ExxonMobil as a Regulatory & Compliance Advisor. Become part of a team responsible for... activities associated with ExxonMobil's gas, crude and products trading activities. In this role, you will be responsible… more
- BP Americas, Inc. (Chicago, IL)
- …assurance, Mentoring, Negotiating, Shipping/transport, Supply chain management, Trade discipline and compliance , Trading and scheduling operations, Trading ... **Entity:** Supply, Trading & Shipping **Job Family Group:** Supply & Trading Group **Job Description:** **About us** Our purpose is to bring together people,… more
- Bank of America (Houston, TX)
- …activities, while sharing knowledge of the current market environment + Performs trading activities in compliance with federal regulations, industry standards, ... DIR, Power Trading - Structured Transactions Houston, Texas **Job Description:**...This job is responsible for managing risk and developing trading activities with limited direction from senior staff. Key… more
- Scotiabank (New York, NY)
- …in day-to-day activities and decisions. + Manage trading inventories and generate trading revenues in compliance with limits and the bank's risk profile. + ... Director, US Investment Grade Credit Trading **Requisition ID:** 214419 **Salary Range:** 300,000.00 -...business controls to meet obligations with respect to operational, compliance , AML/ATF/sanctions and conduct risk. + Champions a high… more
- LS Power Development, LLC (New York, NY)
- …streams such as power, ancillaries, and capacity + Formulate risk management and trading strategies + Ensure compliance with strategic objectives and existing ... and divestiture efforts, primarily through the support of asset market and trading activities, analysis of and certifications related to hedging and trading… more
- Scotiabank (New York, NY)
- …needs are serviced by leveraging the Bank's key assets to build the franchise. Ensure compliance of trading limits, as well as internal and external rules and ... Associate Director, EM Trading **Requisition ID:** 221199 **Salary Range:** 249,954.00 -...business strategies and objectives with all activities conducted in compliance with governing regulations, internal policies and procedures. Support… more
- Madison Gas & Electric (Madison, WI)
- …Energy Regulatory Commission, North American Electric Reliability Corporation, and Commodity Futures Trading Commission. Acts in compliance with market rules at ... **Energy Trading Manager** Location **Madison** Job Category Apply Now...regulatory issues as directed. + Maintains working knowledge and compliance with the Company's policies and procedures including fuels… more
- Capco, a Wipro Company (New York, NY)
- …front and middle office operations + Implement and enhance ETRM systems to support trading , risk management, and compliance activities + Work closely with risk ... the Job:** As an ETRM Project Manager in Power Trading you will have a strong background in Power...project delivery + Identify and mitigate project risks, ensuring compliance with regulatory requirements and internal policies + Provide… more
- Citigroup (New York, NY)
- …management system. + Lead reviews by global banking and securities regulators, Compliance testing, and Internal Audit of E- Trading business, including preparing ... governance meetings. The role also requires relevant experience in ensuring compliance with E- Trading regulatory requirements, namely MAR (15c3-5), as well… more
- JPMorgan Chase (New York, NY)
- …FCA and other global asset management regulations. + Experience with equities trading compliance , including best execution, trade surveillance, and market abuse ... FCA, and other relevant regulatory requirements. + Identify, assess, and mitigate compliance risks related to equity investments, trading practices, research,… more
- Bloomberg (New York, NY)
- …configuration, training, testing and support across position management, order management, trading , research management, compliance , and operations. The ideal ... of workflows across portfolio management, research management, order management, trading , compliance and operations for institutional investment managers… more
- Bank of America (New York, NY)
- …requirements in conjunction with critical support partners. eg Technology, Sales & Trading , Compliance , Legal, Operations, Risk Management, etc. + Manage and ... an impact. Join us! **Job Description:** Competencies required include electronic trading platform, algorithm design and deployment, venue and exchange management,… more
- Bloomberg (New York, NY)
- Bloomberg AIM delivers global, multi-asset solutions for portfolio management, trading , compliance and operations for buy-side firms. AIM is used by more than ... Buyside Product group is looking for a qualified Product Analyst for its compliance product, to help lead our growth by providing innovative and workflow-driven… more
- Robert Half Finance & Accounting (Chicago, IL)
- …+ Data Collection and Analysis: Gather trade data from internal systems, analyze trading activity to identify potential compliance concerns related to market ... FOCUS, and other required filings based on specific regulatory guidelines. + Compliance Monitoring: Monitor trading activity for potential violations of… more
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