Compliance, Compliance Testing Group (Irving) - Associate/Vice President - 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 - 11 Feb 2016 02:37:51 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
New Accounts and Compliance Analyst - Straits Financial LLC - Chicago, IL
Confirm daily and periodic regulatory reporting in relation to reporting of positions and trader information. In addition, this position provides daily support... From Indeed - 31 Jan 2016 17:00:35 GMT - View all Chicago jobs View full post on Trader Jobs | Indeed.com
Compliance Team Leader - UBS - Weehawken, NJ
Testing will cover a range of products in the Investment Bank's Equities and Fixed Income & Rates sales and trading, Prime Brokerage, and Corporate Client... From UBS - 07 Nov 2015 06:56:36 GMT - View all Weehawken jobs View full post on Trader Jobs | Indeed.com
Compliance Officer Market Surveillance - Citi - Jersey City, NJ
The response process includes compiling all requested documentation, analyzing the results to identify potential issues, escalating potential risk issues to the... From Citi - 27 Oct 2015 12:23:59 GMT - View all Jersey City jobs View full post on Trader Jobs | Indeed.com
COMPLIANCE CONSULTANT 4 - Wells Fargo - Massachusetts
Evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from... From Wells Fargo - 16 Oct 2015 23:56:42 GMT - View all jobs View full post on Trader Jobs | Indeed.com
Associate Director - Operations Compliance for Capital Markets - BMO Financial Group - Jersey City, NJ
Build partnerships with internal clients and other business stakeholders, build relationships with internal and external auditors and regulators;... From BMO Financial Group - 15 Oct 2015 19:31:17 GMT - View all Jersey City jobs View full post on Trader Jobs | Indeed.com
Chief Compliance Officer - Akuna Capital - Chicago, IL
Conduct compliance related training seminars for traders and developers. Develop, implement, monitor and maintain compliance policies and procedures.... From Akuna Capital - 02 Oct 2015 18:54:31 GMT - View all Chicago jobs View full post on Trader Jobs | Indeed.com
Equity Sales & Trading Compliance Officer (VP) - Morgan Stanley - New York, NY
Provide advisory support to traders, sales traders, supervisors, Risk and IT on regulatory rules. The Group will coordinate, recommend, and execute plans to... From Morgan Stanley - 21 Sep 2015 16:33:58 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Compliance Audit Coordinator - FXCM - New York, NY
Execute continuous monitoring programs to ascertain the strength of the firm's internal controls and ensure adherence to applicable laws and regulations.... From FXCM - 26 Aug 2015 06:31:00 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Manager Retail Compliance - TD Ameritrade - Jersey City, NJ
Work effectively with internal and external business partners to develop and complete Risk & Control Self-Assessments (RCSA’s) for program activities.... From TD Ameritrade - 26 Aug 2015 18:45:46 GMT - View all Jersey City jobs View full post on Trader Jobs | Indeed.com