Liaise with Testing Group to design equity business test plan for the year and execute quarterly compliance tests (e.g….
From Morgan Stanley – Thu, 01 Sep 2016 16:31:38 GMT – View all New York jobs
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Tag: Compliance
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Equity Compliance VP – Morgan Stanley – New York, NY
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Electronic Communications Compliance Product Manager VP – DIR – Credit Suisse – New York, NY
Establish product performance and client satisfaction metrics and then gather, analyze and report on them; Global Product Manager accountable for the service…
From Credit Suisse – Fri, 26 Aug 2016 02:57:55 GMT – View all New York jobsView full post on Trader Jobs | Indeed.com
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Securities Industry Compliance Mgr Job – Blue Cross and Blue Shield of Minnesota – Eagan, MN
Develop strong collaborative working relationships with all parts of the firm including portfolio managers, traders, research analysts, client relations,…
From BlueCross BlueShield of Minnesota – Fri, 19 Aug 2016 22:04:08 GMT – View all Eagan jobsView full post on Trader Jobs | Indeed.com
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Compliance Analyst – NinjaTrader – Chicago, IL
We are building products and services which empower active traders to easily analyze and react to data from the world’s leading financial markets in the hopes…
From NinjaTrader – 29 Jul 2016 14:26:45 GMT
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Compliance Technology & Reporting Analyst – FXCM – New York, NY
Analyze trade execution data for exceptions and inconsistencies. Experience in report development. Prior to submitting your resume, the firm requests that you…
From FXCM – 26 Jul 2016 21:45:29 GMT
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Sr. Analyst, Active Trader Compliance – TD Ameritrade – Chicago, IL
Provide advice to internal departments such as new accounts, trade desk, and risk team. Help review regulatory requests to monitor for trends and patterns….
From TD Ameritrade – 19 Jul 2016 11:20:15 GMT
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Compliance, Compliance Testing Group, Associate/Vice President – New York – Goldman Sachs – New York, NY
Identify potential compliance and reputational risks, and effectively escalate to appropriate individuals. Gather data, perform analyses and document results….
From Goldman Sachs – 29 Jun 2016 06:12:48 GMT
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Director, Trade Compliance – NRG Energy – Princeton, NJ
Reviewing and analyzing trader transactions to identify potential areas of risk of non-compliance and proactively advise on improvements to trading behavior….
From NRG Energy – 20 Jun 2016 17:47:46 GMT
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Equity Sales and Trading 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 – 19 May 2016 18:53:27 GMT
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