Trading Compliance Specialist - Compliance Search - New York, NY
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 - View all New York jobs View full post on Trader Jobs | Indeed.com
Trading Compliance Specialist
Apply for Job Here Top-tier investment adviser is seeking a Trading Compliance Specialist with primary responsibilities for implementing, testing, and reviewing investment guidelines and restrictions and analyzing securities for appropriate set-up on the Adviser’s trading platform. Responsibilities:• Conduct overall trader surveillance, including identifying and escalating potential trading issues • Perform and document quarterly trade […]
Compliance Manager
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
Compliance, Assistant Manager, Highly Competitive - Hong Kong, China
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. […]
Equities Compliance Director, $200,000+ SGD - Hong Kong
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 […]
Head Of Compliance, €120-350k EU (Dependant on Candidate) - Germany, Berlin
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. […]
Head Of Compliance, €130k - €150k EU - Germany, Berlin
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 […]
Head Of Compliance, €300- €400k EU - Berlin, Germany
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 […]
Commodity Futures Trading Compliance Officer
Senior position leading the commodity trading compliance for a multinational company View full post on All Trading Jobs: eFinancialCareers.com
Compliance Analyst - Employee Trading
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