: The Compliance Officer - Trade Surveillance at FalconX will be responsible for monitoring and investigating trading... Administration) or equivalent experience. * Experience: 7+ years of experience in trade surveillance or compliance within a broker...
Job description Business type Types of Jobs - Compliance / Financial Security Job title Head of Monitoring & Surveillance Compliance... to trade surveillance review. The Head of Monitoring and Surveillance will also be responsible for managing controls...
Job description Business type Types of Jobs - Compliance / Financial Security Job title Head of Monitoring & Surveillance Compliance... to trade surveillance review. The Head of Monitoring and Surveillance will also be responsible for managing controls...
Firm's employees, in addition to trade surveillance review. The Head of Monitoring and Surveillance... as inquiries. Key Responsibilities: - Lead and manage the E-Communications, Voice-Communications, and Trade Surveillance...
as a Chief Compliance Officer (CCO) and contribute significantly to a dynamic and bold finance and insurance landscape! As a CCO...: Chief Compliance Officer Responsiblities: Lead LSI’s implementation, maintenance, and enforcement of all relevant Policies...
Compliance Officer (CCO) and contribute significantly to a dynamic and bold finance and insurance landscape! As a CCO, ensuring... Compliance Officer Responsiblities: Lead LSI’s implementation, maintenance, and enforcement of all relevant Policies and Written...
they are and what they contribute. To learn more about CIBC, please visit What You’ll Be Doing: The Swap Dealer Compliance Officer is responsible... for performing important advisory, training, surveillance and analytical functions to support CIBC’s Swap Dealer Compliance program...
Job Description: Job Title Compliance Officer – Fixed Income Sales & Trading - Credit Corporate Title Vice...) related to Credit sales and trading activities, surveillance and monitoring of controls, supervision, and other issues...
Job Description: Job Title Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Credit... and trading activities, surveillance and monitoring of controls, supervision, and other issues that are typical for a large global...
Compliance Manual and Written Supervisory Procedures. Provide Compliance Advisory services for broker-dealer Trade Surveillance... Compliance Officer – Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed Income, Listed...
for US Broker Trade Surveillance process. Provide Compliance Advisory services for US Broker Regulatory Reporting process... to exchanges and technology-powered services. For more information visit Purpose of Role: The Senior Compliance Officer...
and developments, monitoring risk/trade surveillance, and identifying and corrects possible gaps and weaknesses. Our particular focus... and administration of the Fixed Income compliance program. Coordinate and performs risk assessment, monitoring, testing and surveillance...
Compliance Officer, the Compliance Department is comprised of functionally aligned teams that operate collaboratively based... regulations and guidelines applicable to trade surveillance, the handling of Material Non-Public Information, and conflicts...
Compliance Officer, the Compliance Department is comprised of functionally aligned teams that operate collaboratively based... regulations and guidelines applicable to trade surveillance, the handling of Material Non-Public Information, and conflicts...