- Fidelity Investments (Boston, MA)
- …and portfolio compliance violations through real time and post trade compliance monitoring with client, regulatory and internal policy limitations. This team ... Job Description: The Role Supporting the operations of the Fidelity Compliance Programs by daily monitoring of trade activities for specific equity, fixed income and… more
- BNP Paribas (Jersey City, NJ)
- …and Optimization, FIU/BLRA/QA, and Project Management. KYC is seeking a VP-level advisor to provide compliance coverage primarily for Financial Institutions ... regulatory initiatives impacting KYC/CDD/CIP requirements; and Support KYC Compliance on internal and external examinations, projects, and other priorities, as… more
- Societe Generale (New York, NY)
- …and CSAs, and addressing considerations related to XVA and other relevant regulatory and operational requirements. Collaborate closely with compliance , legal, ... Generale, you will be a key player on the trading floor, delivering value-driven solutions to institutional clients and...and Compliance *Uphold the firm's risk and compliance standards, ensuring adherence to regulatory requirements… more
- Farther (New York, NY)
- …product roadmap-spanning portfolio construction, asset class expansion, and advisor -facing investment tools-while ensuring the supporting data infrastructure is ... like restricted security management, user experience improvements, and advanced trading capabilities Drive development of portfolio rebalancing tools and… more
- Altruist (Los Angeles, CA)
- …logic, and integrations with accounting or custodial systems Familiarity with advisor fee structures, custodial billing practices, and compliance requirements ... combines a self-clearing brokerage firm with intuitive software for account opening, trading , reporting, and billing - all in one streamlined solution. Financial… more
- ExxonMobil (Spring, TX)
- …and corporate facilities. **What Role You Will Play in Our Team** Join ExxonMobil as a Regulatory & Compliance Advisor . Become part of a team responsible for ... tools, (eg policies and procedures, R&R charts) and assist with the preparation of regulatory compliance reports, as required * Keep abreast of upcoming, new and… more
- US Bank (Minneapolis, MN)
- …adviser and sub-advisers. This position also will primarily assist with Portfolio and Trading Compliance and the overall daily monitoring of trade activity. This ... procedures and controls. **_Major Responsibilities:_** Assist the Director of Portfolio and Trading Compliance (" Compliance Director") with the compliance… more
- JPMorgan Chase (New York, NY)
- …clients, serving as a senior advisor and trusted partner. + Ensure compliance with all regulatory requirements and internal policies, setting the standard ... The Executive Director, High Touch Trading , will lead the strategic direction and execution...Summary:** As an Executive Director for our High Touch Trading team, you will lead the strategic direction and… more
- Tradeweb (New York, NY)
- …efficiency, connectivity, and transparency in electronic trading . https://www.dol.gov/ofccp/regs/ compliance /posters/pdf/eeopost.pdf **Group Details** Tradeweb ... executed controls. **Job Responsibilities** + Serve as the embedded operational risk advisor within trading and technology teams, acting as the first… more
- JPMorgan Chase (New York, NY)
- …with institutional clients, acting as a trusted advisor . + Ensure compliance with all regulatory requirements and internal policies. + Utilize advanced ... **Job Summary:** The Vice President, High Touch Trading will be responsible for executing equity trades...achieving best execution. + Provide strategic market insights and trading strategies to clients. + Monitor market conditions and… more
- Citigroup (New York, NY)
- The Senior Lead Counsel II/Director - Debt Trading & Reorganization and Credit Derivatives is a senior level position responsible for serving as strategic business ... legal counsel and thought leadership to Citi's Spread Products - Sales & Trading business. (Note: Citi uses the designation "Spread Products" to refer to credit… more
- Raymond James Financial, Inc. (Denver, CO)
- …moderate scope and complexity. **Essential Duties and Responsibilities:** * Conducts compliance and suitability reviews, and monitors trading activities, through ... * General office practices, procedures, and methods. * Suitability and other compliance issues involved with branch manager/FA trading activity. * Knowledge… more
- Raymond James Financial, Inc. (Denver, CO)
- …various compliance and suitability reviews to detect trends of post- trading patterns, and possible rules violations to ensure adherence to securities industry ... research, and resolve problems. **Essential Duties and Responsibilities:** * Conducts compliance and suitability reviews, and monitors trading activities,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …research, and resolve problems. **Essential Duties and Responsibilities** + Conducts compliance and suitability reviews, and monitors trading activities, through ... + General office practices, procedures, and methods. + Suitability and other compliance issues involved with branch manager/FA trading activity. **Skill in**… more
- Vanguard (Malvern, PA)
- …related work experience, with at least two years within a financial services compliance function. Regulatory , compliance , investment, or auditing experience ... will be a member of a team of dedicated compliance professionals who play a critical role in ensuring...play a critical role in ensuring Vanguard adheres to regulatory requirements and internal policies, focusing on information barriers,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …regulations and limit firm liability. Conduct internal reviews to ensure compliance with regulatory requirements and internal policies including potential ... + Reviews requests for Outside Brokerage Accounts to ensure compliance with firm policy and regulatory rules...procedures, and methods. + Conflicts of Interest and other compliance issues involved with branch manager/FA trading … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …account trading activity of clients' accounts by monitoring financial advisor activity, reporting findings and managing concerns in a professional and ... and databases. + Critical thinking and decision-making, involving the interpretation of regulatory rules and compliance policies. + Detail orientation to ensure… more
- Raymond James Financial, Inc. (Southfield, MI)
- … to review and analyze various communication reviews and content to ensure compliance with regulatory expectations and firm policies and procedures. This ... * General office practices, procedures, and methods. * Suitability and other compliance issues involved with branch manager/FA trading activity. **Skill in:**… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …regulations, thereby limiting firm liability. Conduct internal reviews to ensure compliance with regulatory requirements and internal policies, including ... office practices, procedures, and methods. + Conflicts of Interest and other compliance issues involved with branch manager/FA trading activity. **Skill in:**… more
- Southern California Edison (Rosemead, CA)
- Join the Clean Energy Revolution Become a Senior Energy Operations Advisor at Southern California Edison (SCE) and build a better tomorrow. In this job, you will ... position is part of a team of nine Energy Trading Operations/Support personnel reporting directly to the Senior Manager...our industry as a high-performance organization. As a Senior Advisor , your work will help power our planet, reduce… more
