GWIM Compliance Executive - Bank of America - New York, NY
The position of GWIM Senior Compliance Manager will report to the Head of the Office of the CCOs of GWIM and GBAM and coordinate and oversee routines and... From Bank of America - 25 Aug 2015 02:19:43 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
COMPLIANCE CONSULTANT 4 - Wells Fargo - California
Evaluates the adequacy and effectiveness of policies, procedures, processes, initiatives, products and internal controls and identifies issues resulting from... From Wells Fargo - 24 Aug 2015 18:37:54 GMT - View all jobs View full post on Trader Jobs | Indeed.com
SSgA Compliance Analyst,Assistant Vice President - State Street - Boston, MA
Daily execution of, or supervision over, procedures whose goals are the complete avoidance of any insider trading, disruptive trading, market manipulation, or... From State Street - 18 Aug 2015 01:33:09 GMT - View all Boston jobs View full post on Trader Jobs | Indeed.com
Compliance Surveillance Associate - Futures - Société Générale - United States
Review surveillance systems and other internal reports to monitor for trade practice abuse in regards to customer and house trading activities in listed futures... From Société Générale - 17 Aug 2015 21:53:31 GMT - View all jobs View full post on Trader Jobs | Indeed.com
Director of Trading Compliance - Calpine - Houston, TX
Manages daily activities representing multiple functions/products/locations through first and second level management.... From Calpine - 07 Aug 2015 10:01:34 GMT - View all Houston jobs View full post on Trader Jobs | Indeed.com
Director of Investment Management Compliance - Bessemer Trust Company - New York, NY
Work closely with portfolio managers, traders and other advisor professionals to design and implement operational policies and procedures.... From Bessemer Trust Company - 05 Aug 2015 00:01:18 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Compliance Manager 3 - Wells Fargo - San Francisco, CA
Prepare material and participate in risk committees and other management meetings on behalf of the Swap Dealer;... From Wells Fargo - 01 Aug 2015 09:51:27 GMT - View all San Francisco jobs View full post on Trader Jobs | Indeed.com
Compliance Assurance Analyst - Koch Supply & Trading, LP - Wichita, KS
Additional projects and other activities will cover a variety topics and activities, depending on business needs.... From Koch Industries, Inc. - 03 Aug 2015 18:04:16 GMT - View all Wichita jobs View full post on Trader Jobs | Indeed.com
Volcker Testing Compliance Officer - UBS - Weehawken, NJ
The objective of testing is to evaluate the Firm's compliance program, internal controls, and management procedures.... From UBS - 01 Aug 2015 00:46:32 GMT - View all Weehawken jobs View full post on Trader Jobs | Indeed.com
Compliance Consultant 3 - Wells Fargo - Charlotte, NC
Participate in industry and WFS calls to understand and develop policies and procedures for proposed regulations impacting the Rates and Commodities LOBs.... From Wells Fargo - 28 Jul 2015 06:52:36 GMT - View all Charlotte jobs View full post on Trader Jobs | Indeed.com