Senior Compliance Officer Market Surveillance - Citi - Jersey City, NJ
A comprehensive understanding of the FX and futures markets is essential as is the ability to analyze trading data to discern patterns of potentially aberrant... From Citi - 18 Jul 2015 13:18:55 GMT - View all Jersey City jobs View full post on Trader Jobs | Indeed.com
Sr. Manager Retail Compliance - TD Ameritrade - Jersey City, NJ
Work with internal and external business partners to develop and complete Risk & Control Self-Assessments (RCSA’s) for program activities.... From TD Ameritrade - 08 Jul 2015 13:10:14 GMT - View all Jersey City jobs View full post on Trader Jobs | Indeed.com
Sr. Compliance Manager - Interactive Data - New York, NY
Assists with preparation of Annual Compliance Report pursuant to Rule 206(4)-7. Assists in testing and monitoring of compliance procedures and controls, and... From Interactive Data - 17 Jun 2015 23:32:09 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Futures Compliance Officer - DRW Trading Group - New York, NY
Monitor and report on the effectiveness of policies and procedures of department; Position requires substantial presence on trading desk and ability to interact... From DRW Trading Group - 11 Jun 2015 03:04:07 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Compliance Associate - New York Life Insurance Co - New York, NY
Prepare daily, weekly and monthly compliance and internal control reports used to monitor the Service Organizations compliance with FINRA and state regulatory... From New York Life Insurance Company - 23 May 2015 14:58:07 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Compliance Officer 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 - 02 May 2015 14:13:20 GMT - View all Jersey City jobs View full post on Trader Jobs | Indeed.com
Compliance Associate, Examinations and Audits - 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 - 27 Apr 2015 22:28:20 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Compliance Manager - BNY Mellon - Jersey City, NJ
Will act as co- lead with technologists, senior compliance SMEs and programmers for management of one or more projects that make up components of an Enterprise... From BNY Mellon - 22 Apr 2015 23:00:05 GMT - View all Jersey City jobs View full post on Trader Jobs | Indeed.com
Mutual Fund Compliance Officer - Bessemer Trust Company - New York, NY
Perform Rule 38a-1 service provider testing and onsite due diligence interviews with service providers.Review of compliance policies and procedures, quarterly... From Bessemer Trust Company - 03 Apr 2015 00:27:42 GMT - View all New York jobs View full post on Trader Jobs | Indeed.com
Compliance Officer FX Market Surveillance - Citi - Jersey City, NJ
Responding to regulatory inquiries is another key function, which entails compiling all requested documentation, analyzing results to identify potential issues,... From Citi - 19 Mar 2015 13:25:35 GMT - View all Jersey City jobs View full post on Trader Jobs | Indeed.com