- 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 (New York, NY)
- Head of Global Trading About the Company Flourishing company in the financial services sector Industry Accounting Type Privately Held About the Role The Head of ... Global Trading will be responsible for leading the development, enhancement,...structure and regulatory requirements will be vital to ensure compliance and risk-aware execution, while working closely with cross-functional… more
- Unknown (New Haven, 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 (Dallas, TX)
- …insights to senior management are required. Familiarity with regulatory guidelines and compliance standards in trading activities is a must. Travel Percent ... organization. The successful candidate will be responsible for overseeing trading activities, portfolio management, and asset-liability strategies to ensure optimal… 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 (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 (Jersey City, NJ)
- …President, AML Compliance About the Company Popular investment & trading platform Industry Financial Services Type Privately Held Employees 1001-5000 About the ... Role The Company is seeking a VP/AML Compliance to lead a dedicated team in monitoring and...candidate will be responsible for overseeing the firm's AML compliance program in accordance with the Bank Secrecy Act,… more
- Unknown (El Paso, TX)
- 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 (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 (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)
- 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 (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 (Washington, DC)
- …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 (New York, NY)
- Chief Financial Officer (CFO) About the Company Well-regarded commodity trading & finance company Industry Financial Services Type Privately Held About the Role The ... maintaining the integrity of collateral reporting, and overseeing regulatory compliance . This strategic position also involves providing essential support for… more
- Unknown (New York, NY)
- …and operational changes, conducting independent monitoring and oversight to ensure compliance , and overseeing the enhancement of the existing trade surveillance ... trade-surveillance analysts and ensuring effective surveillance of activities across various trading platforms. Applicants for the US Head of Exchange Traded… more
- Unknown (New York, NY)
- …prepayment and default risk analysis, and predictive insights that inform trading strategy and risk decisions. You'll collaborate closely with trading ... model governance and performance monitoring to ensure accuracy, reliability and compliance with industry standards, mentor junior quantitative staff, and provide… more
- Unknown (New York, NY)
- …& Investing Credit Insurance Morgan Stanley Specialties sales & trading investment banking investment management prime brokerage research institutional consulting ... candidate will be a key player in the Fundamental Review of the Trading Book (FRTB) program, ensuring its strategic direction, regulatory compliance , and… more
- Unknown (New York, NY)
- …About the Company Dynamic full-service investment firm specializing in sales & trading , research, & asset management Industry Financial Services Type Privately Held ... & Professional Services Financial Services Service Providers Services Specialties trading sales research merchant banking investment banking About the Role… more
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