Regulatory Compliance Manager
The Regulatory Compliance Department is looking for a candidate with strong regulatory compliance skills. The candidate must possess a detailed understanding and knowledge of the financial services industry, including the applicable laws and regulations. View full post on All Trading Jobs: eFinancialCareers.com
Senior Equities Compliance Officer
Apply for Job Here Title Senior Equities Compliance OfficerJob Reference # 87127BRLocation United States - New YorkCity New YorkFunction Category Legal and ComplianceBusiness Divisions Corporate CenterJob Type Full TimeDescription This senior compliance officer will provide advice to traders, sales persons and technology personnel regarding regulatory requirements for the trading and sales of equities and equity […]
Director - Compliance & Trade Surveillance
Leading hedge fund seeking CCO/Director of Compliance & Trade Surveillance View full post on All Trading Jobs: eFinancialCareers.com
Director Compliance Active Trader - TD Ameritrade - Bellevue, NE
Trader Group and is responsible for providing compliance advice to entire Active Trader business unit. This position determines priorties for Active Trader... From TD Ameritrade - 01 Sep 2012 13:26:10 GMT - View all Bellevue jobs View full post on Trader Jobs | Indeed.com
Director Compliance Active Trader - TD Ameritrade - Chicago, IL
Trader Group and is responsible for providing compliance advice to entire Active Trader business unit. This position determines priorties for Active Trader... From TD Ameritrade - 24 Aug 2012 13:26:02 GMT - View all Chicago jobs View full post on Trader Jobs | Indeed.com
Chief Compliance Officer/General Counsel, Competitive compensation - New York, NY, USA
Our client, an approximately $6 billion diversified investment management firm, is seeking a General Counsel/Chief Compliance Officer to be responsible for the administration of its legal and compliance program. It specializes in convertible, high yield and equity strategies offered through long only, hedge-fund and NYSE closed-end mutual fund products. View full post on exec-appointments.com: Trading […]
Chief Compliance Officer, Competitive compensation - New York, NY, USA
Our client, an approximately $6 billion diversified investment management firm, is seeking a General Counsel/Chief Compliance Officer to be responsible for the administration of its legal and compliance program. It specializes in convertible, high yield and equity strategies offered through long only, hedge-fund and NYSE closed-end mutual fund products. View full post on exec-appointments.com: Trading […]
Futures Compliance Officer, Competitive compensation - New York, NY, USA
Our client, a global financial institution, is seeking a Futures Compliance Officer to support their growing U.S. operations. There is plenty of room for career growth in this role and you could make an instant impact in this group. This candidate will focus on the advisory, monitoring, and surveillance of the futures business. View full […]
Equities Derivatives Compliance Officer, Competitive compensation - New York, NY, USA
Our client is a top-tier global financial services firm that provides large corporate, government and institutional clients with a full spectrum of solutions to their strategic advisory, financing and risk management needs. They are also engaged in retail banking, credit cards, corporate banking, and wealth and investment management. View full post on exec-appointments.com: Trading Jobs
Head of Compliance - Europe, £1,000 - £1,500 per day - London, UK
Lead Compliance function for highly regarded asset manager Interim and permanent opportunity View full post on exec-appointments.com: Trading Jobs