WM Compliance- Equities Compliance Coverage - 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, 15 Feb 2017 20:44:52 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Compliance Associate - Morgan Stanley - New York, NY
This individual will work closely with internal traders, portfolio managers, auditors, IT teams and other operational groups, i.e. corporate actions, client...From Morgan Stanley - Wed, 08 Feb 2017 02:16:52 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Compliance Associate - Morgan Stanley - West Conshohocken, PA
This individual will work closely with internal traders, portfolio managers, auditors, IT teams and other operational groups, i.e. corporate actions, client...From Morgan Stanley - Wed, 08 Feb 2017 02:16:52 GMT - View all West Conshohocken jobs View full post on Trader Jobs | Indeed.com
Sales & Trading Compliance Officer - Electronic Trading - 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, 01 Feb 2017 19:56:07 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
CCG 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 - Sat, 14 Jan 2017 02:04:30 GMT - View all Owings Mills jobs View full post on Trader Jobs | Indeed.com
Fixed Income Compliance - Morgan Stanley - New York, NY
Ability to handle highly confidential and sensitive information. Work closely with various internal and external parties including IT, Operations, the Legal...From Morgan Stanley - Thu, 05 Jan 2017 21:07:50 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Compliance Officer for IndexIQ (40226) - New York Life Insurance Co - Rye Brook, NY
Collaborates with others to solve complex problems; Individual Third Party Ratings Report as of 8/11/15). New York Life holds the highest possible financial...From New York Life Insurance Company - Fri, 23 Dec 2016 10:06:59 GMT - View all Rye Brook jobs View full post on Trader Jobs | Indeed.com
Compliance, Regulatory Reporting Group, Analyst - Jersey City - Goldman Sachs - Jersey City, NJ
Reporting of certain business activities including as broker-dealer, swap dealer or Futures Commission Merchant;...From Goldman Sachs - Thu, 22 Dec 2016 00:40:11 GMT - View all Jersey City jobs View full post on Trader Jobs | Indeed.com
Compliance Officer - Equities Sales - VP - Deutsche Bank - New York, NY
Participating in internal investigations, assisting in responding to regulatory inquiries, and coordinating internal and external audits and inspections....From Deutsche Bank - Fri, 16 Dec 2016 08:08:22 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Associate Director, Global Import-Export & Trade Compliance - Takeda Pharmaceuticals - Cambridge, MA
Oversees the compliance activities for CRO and packaging vendors conducting import/export activities on behalf of Takeda, as well as provides consultation to...From Takeda Pharmaceuticals - Thu, 15 Dec 2016 18:09:41 GMT - View all Cambridge jobs View full post on Trader Jobs | Indeed.com