Equity Compliance VP - Morgan Stanley - New York, NY
Liaise with Testing Group to design equity business test plan for the year and execute quarterly compliance tests (e.g....From Morgan Stanley - Thu, 01 Sep 2016 16:31:38 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Electronic Communications Compliance Product Manager VP - DIR - Credit Suisse - New York, NY
Establish product performance and client satisfaction metrics and then gather, analyze and report on them; Global Product Manager accountable for the service...From Credit Suisse - Fri, 26 Aug 2016 02:57:55 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Securities Industry Compliance Mgr Job - Blue Cross and Blue Shield of Minnesota - Eagan, MN
Develop strong collaborative working relationships with all parts of the firm including portfolio managers, traders, research analysts, client relations,...From BlueCross BlueShield of Minnesota - Fri, 19 Aug 2016 22:04:08 GMT - View all Eagan jobs View full post on Trader Jobs | Indeed.com
Compliance Analyst - NinjaTrader - Chicago, IL
We are building products and services which empower active traders to easily analyze and react to data from the world’s leading financial markets in the hopes... From NinjaTrader - 29 Jul 2016 14:26:45 GMT - View all Chicago jobs View full post on Trader Jobs | Indeed.com
Compliance Technology & Reporting Analyst - FXCM - New York, NY
Analyze trade execution data for exceptions and inconsistencies. Experience in report development. Prior to submitting your resume, the firm requests that you... From FXCM - 26 Jul 2016 21:45:29 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Sr. Analyst, Active Trader Compliance - TD Ameritrade - Chicago, IL
Provide advice to internal departments such as new accounts, trade desk, and risk team. Help review regulatory requests to monitor for trends and patterns.... From TD Ameritrade - 19 Jul 2016 11:20:15 GMT - View all Chicago jobs View full post on Trader Jobs | Indeed.com
Compliance, Compliance Testing Group, Associate/Vice President - New York - Goldman Sachs - New York, NY
Identify potential compliance and reputational risks, and effectively escalate to appropriate individuals. Gather data, perform analyses and document results.... From Goldman Sachs - 29 Jun 2016 06:12:48 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Director, Trade Compliance - NRG Energy - Princeton, NJ
Reviewing and analyzing trader transactions to identify potential areas of risk of non-compliance and proactively advise on improvements to trading behavior.... From NRG Energy - 20 Jun 2016 17:47:46 GMT - View all Princeton jobs View full post on Trader Jobs | Indeed.com
Equity Sales and Trading 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 - 19 May 2016 18:53:27 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com