Compliance Analyst Job - Xcel Energy - Denver, CO
Monitor activities as directed by management and legal counsel. Perform routine compliance monitoring activities....From Xcel Energy - Tue, 06 Dec 2016 17:53:54 GMT - View all Denver jobs View full post on Trader Jobs | Indeed.com
Equity Advisory Surveillance and Compliance Officer - NYC - CIBC - New York, NY
Monitoring the daily sales and trading activities of CIBC’s cash and derivatives businesses. The authority to represent Compliance on internal projects relating...From CIBC - Thu, 03 Nov 2016 01:41:06 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Senior Compliance Specialist - Exchange Traded Funds - OppenheimerFunds - New York, NY
The primary responsibility of the Senior Compliance Specialist is to monitor trading on the New York ETF trade desk....From OppenheimerFunds - Sat, 29 Oct 2016 03:28:24 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Senior Investment Advisory Compliance Officer - UBS - New York, NY
Experience reviewing and analyzing trading data in order to identify potential violations of trade allocations procedures....From UBS - Sun, 16 Oct 2016 07:26:35 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Compliance Consultant - Wells Fargo - New York, NY
Team members support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly...From Wells Fargo - Fri, 07 Oct 2016 13:29:04 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
AVP/VP FX/FIC Compliance - Deutsche Bank - New York, NY
Work with other support partners within Compliance to develop trade surveillance reports and assist with any internal inquiries or investigations that may...From Deutsche Bank - Sat, 01 Oct 2016 15:54:47 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Central Control Group 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 - Fri, 30 Sep 2016 19:24:59 GMT - View all Owings Mills jobs View full post on Trader Jobs | Indeed.com
Public Finance / Muni Markets Compliance Manager - Bank of America - New York, NY
The Compliance Manager is responsible for engaging in activities to contribute to the independent compliance oversight of Front Line Unit ("FLU") and Control...From Bank of America - Sat, 17 Sep 2016 17:54:12 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Institutional Equity 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 - Wed, 07 Sep 2016 21:42:58 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Compliance Officer - FXCM - New York, NY
Build successful relationships with Business Managers and Business Owners to discuss risk-based issues, monitor status of findings and influence Management...From FXCM - Tue, 06 Sep 2016 15:19:14 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com