Additional Responsibilities:
Conduct overall trader surveillance, including identifying and escalating… with Portfolio Managers and Traders and build smooth…
From Compliance Search – 28 Nov 2011 18:53:11 GMT
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Responsibilities:
• Conduct overall trader surveillance, including identifying and escalating potential trading issues
• Perform and document quarterly trade cost analysis of all trades
• Maintain trading system’s data integrity and rule functionality
• Complete due diligence reports for clients
• Assist in annual compliance reviews by performing test work and documenting results
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Position is responsible for ensuring ProFund Advisors, LLC (PFA) and ProShare Advisors, LLC (PSA) is informed about all material developments in compliance programs for both ProFunds and ProShares Trusts and their principle service providers, including investment advisor, distributor, transfer agent, and any administrative services providers.
View full post on All Trading Jobs: eFinancialCareers.com
My client, a leading fund house specialising in the world’s emerging markets, are seeking a senior marketing manager to join their team in Hong Kong. With over US$50 billion of assets under management and offices based in strategic locations around the globe, the company are one of the world’s leading equity investors in emerging markets. The candidate will be primarily responsible for …
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Due to the expansion of the equities space at this Top Global Bank, they are currently seeking a new Compliance Director with a large amount of experience within Equities and especially Equity Derivatives. If you are looking to be in a Senior Level role at a world renowned bank, click Apply
Position Description
*Advisory. Provide advice either independently or with other …
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The Key functions of this role will be to build out, supervise and manage the Compliance Team in Berlin, including the Compliance Team Leaders for:
*Quality Assurance and Monitoring
*New Client Adoptions and AML
*Regulatory, Advisory and Core Compliance, each based in Berlin, and to coordinate, engage and interact regularly with Compliance Central Services Berlin. The Compliance Team …
View full post on exec-appointments.com: Trading Jobs
The Key functions of this role will be to build out, supervise and manage the Compliance Team in Berlin, including the Compliance Team Leaders for:
* Quality Assurance and Monitoring
* New Client Adoptions and AML
* Regulatory, Advisory and Core Compliance, each based in Berlin, and to coordinate, engage and interact regularly with Compliance Central Services Berlin. The Compliance …
View full post on exec-appointments.com: Trading Jobs
The Key functions of this role will be to build out, supervise and manage the Compliance Team in Berlin, including the Compliance Team Leaders for:
* Quality Assurance and Monitoring
* New Client Adoptions and AML
* Regulatory, Advisory and Core Compliance, each based in Berlin, and to coordinate, engage and interact regularly with Compliance Central Services Berlin. The Compliance Team in …
View full post on exec-appointments.com: Trading Jobs
Senior position leading the commodity trading compliance for a multinational company
View full post on All Trading Jobs: eFinancialCareers.com
Top-tier financial services firm is seeking a Compliance Analyst. The primary responsibilities of this position will be to administer the firm’s Code of Ethics and monitor personal trading activities employees to ensure compliance with laws and regulations, and best practices.
View full post on All Trading Jobs: eFinancialCareers.com