Monitor activities as directed by management and legal counsel. Perform routine compliance monitoring activities….
From Xcel Energy – Tue, 06 Dec 2016 17:53:54 GMT – View all Denver jobs
View full post on Trader Jobs | Indeed.com
Tag: Compliance
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Compliance Analyst Job – Xcel Energy – Denver, CO
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Equity Advisory Surveillance and Compliance Officer – NYC – CIBC – New York, NY
Monitoring the daily sales and trading activities of CIBC’s cash and derivatives businesses. The authority to represent Compliance on internal projects relating…
From CIBC – Thu, 03 Nov 2016 01:41:06 GMT – View all New York jobsView full post on Trader Jobs | Indeed.com
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Senior Compliance Specialist – Exchange Traded Funds – OppenheimerFunds – New York, NY
The primary responsibility of the Senior Compliance Specialist is to monitor trading on the New York ETF trade desk….
From OppenheimerFunds – Sat, 29 Oct 2016 03:28:24 GMT – View all New York jobsView full post on Trader Jobs | Indeed.com
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Senior Investment Advisory Compliance Officer – UBS – New York, NY
Experience reviewing and analyzing trading data in order to identify potential violations of trade allocations procedures….
From UBS – Sun, 16 Oct 2016 07:26:35 GMT – View all New York jobsView full post on Trader Jobs | Indeed.com
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Compliance Consultant – Wells Fargo – New York, NY
Team members support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly…
From Wells Fargo – Fri, 07 Oct 2016 13:29:04 GMT – View all New York jobsView full post on Trader Jobs | Indeed.com
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AVP/VP FX/FIC Compliance – Deutsche Bank – New York, NY
Work with other support partners within Compliance to develop trade surveillance reports and assist with any internal inquiries or investigations that may…
From Deutsche Bank – Sat, 01 Oct 2016 15:54:47 GMT – View all New York jobsView full post on Trader Jobs | Indeed.com
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Central Control Group Compliance Associate – T. Rowe Price – Owings Mills, MD
Monitors trading reports to identify, restrict, and report excessive traders. Works closely with management to provide auditors and regulators with data…
From T. Rowe Price – Fri, 30 Sep 2016 19:24:59 GMT – View all Owings Mills jobsView full post on Trader Jobs | Indeed.com
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Public Finance / Muni Markets Compliance Manager – Bank of America – New York, NY
The Compliance Manager is responsible for engaging in activities to contribute to the independent compliance oversight of Front Line Unit ("FLU") and Control…
From Bank of America – Sat, 17 Sep 2016 17:54:12 GMT – View all New York jobsView full post on Trader Jobs | Indeed.com
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Institutional Equity Compliance Officer – Morgan Stanley – New York, NY
The Group will coordinate, recommend, and execute plans to address potential issues, fulfill regulatory obligations and promote best practices….
From Morgan Stanley – Wed, 07 Sep 2016 21:42:58 GMT – View all New York jobsView full post on Trader Jobs | Indeed.com
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Compliance Officer – FXCM – New York, NY
Build successful relationships with Business Managers and Business Owners to discuss risk-based issues, monitor status of findings and influence Management…
From FXCM – Tue, 06 Sep 2016 15:19:14 GMT – View all New York jobsView full post on Trader Jobs | Indeed.com