Manager, Equities Compliance - UBS - New York, NY
Respond to internal audit requests and requests of other control areas and participate as a representative of Equities Compliance in internal committees.... From UBS - 19 Feb 2015 21:32:40 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Corporate Compliance - EComm Surveillance - Associate - Jersey City - JPMorgan Chase - Jersey City, NJ
It is responsible for reviewing the email of the employees who conduct the business of the Firm, such as bankers, brokers and traders.... From JPMorgan Chase - 19 Feb 2015 16:15:59 GMT - View all Jersey City jobs View full post on Trader Jobs | Indeed.com
Investment Management Compliance Officer - Bessemer Trust Company - New York, NY
Work closely with portfolio managers, traders and other adviser professionals to design and implement operational policies and procedures;... From Bessemer Trust Company - 11 Feb 2015 09:31:02 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Compliance Manager - EComm Surveillance Bilingual - JPMorgan Chase - Jersey City, NJ
It is responsible for reviewing the email of the employees who conduct the business of the Firm, such as bankers, brokers and traders.... From JPMorgan Chase - 21 Jan 2015 08:28:04 GMT - View all Jersey City jobs View full post on Trader Jobs | Indeed.com
Compliance Manager - EComm Surveillance - JPMorgan Chase - Jersey City, NJ
It is responsible for reviewing the email of the employees who conduct the business of the Firm, such as bankers, brokers and traders.... From JPMorgan Chase - 21 Jan 2015 01:45:34 GMT - View all Jersey City jobs View full post on Trader Jobs | Indeed.com
Manager - Market Data Compliance - McGraw Hill Financial - New York, NY
Graw Hill Financial is an equal opportunity employer committed to making all employment decisions on the basis of merit, capability and equality of opportunity,... From McGraw Hill Financial - 13 Jan 2015 05:09:39 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Chief Compliance Officer – Euclid, Zweig, Newfound - Virtus Investment Partners, Inc. - Hartford, CT
Provide compliance guidance to Assigned Advisers’ portfolio managers, traders and analysts. Monitor and review new and existing rules and regulations affecting... From Virtus Investment Partners, Inc. - 31 Dec 2014 21:23:17 GMT - View all Hartford jobs View full post on Trader Jobs | Indeed.com
Senior Compliance Officer Surveillance - Citi - Jersey City, NJ
The inquiry response process includes compilation and analysis of documentation to identify and escalate potential risk issues to the appropriate coverage areas... From Citi - 19 Dec 2014 14:21:44 GMT - View all Jersey City jobs View full post on Trader Jobs | Indeed.com
Compliance Officer Control Group - Citi - New York, NY
The candidate will review transactions for materiality, trading restrictions, potential conflicts of interest, and track transactions through completion by... From Citi - 16 Dec 2014 14:22:14 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com