Job description Business type Types of Jobs - Compliance / Financial Security Job title Head of Monitoring & Surveillance Compliance...: Minimum 12 years of experience in the financial industry, with a strong focus on compliance, surveillance, monitoring...
Job description Business type Types of Jobs - Compliance / Financial Security Job title Head of Monitoring & Surveillance Compliance...: Minimum 12 years of experience in the financial industry, with a strong focus on compliance, surveillance, monitoring...
for a Surveillance Compliance officer to join their team in New York. The role will primarily focus on Surveillance (Trade Activity.... Documented UAT Review of new scenarios. Provide Surveillance expertise to BD and FCM Advisory Compliance, adding context...
for a Surveillance Compliance officer to join their team in New York. The role will primarily focus on Surveillance (Trade Activity.... Documented UAT Review of new scenarios. Provide Surveillance expertise to BD and FCM Advisory Compliance, adding context...
of Monitoring & Surveillance Americas will report to Global Markets Regulatory Compliance Americas. Key Internal contacts..., with a strong focus on compliance, surveillance, monitoring and controls. Required skills Specialist Training Essential: Series 7, 24...
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 Officer – Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed Income, Listed... Compliance Manual and Written Supervisory Procedures. Provide Compliance Advisory services for broker-dealer Trade Surveillance...
to exchanges and technology-powered services. For more information visit Purpose of Role: The Senior Compliance Officer... to ensure Americas Compliance Calendar deadlines are achieved. Work with business partners (i.e., Surveillance, IT, Operations...
Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed Income, Listed... Compliance Manual and Written Supervisory Procedures. Provide Compliance Advisory services for broker-dealer Trade Surveillance...
to exchanges and technology-powered services. For more information visit Purpose of Role: The Senior Compliance Officer... to ensure Americas Compliance Calendar deadlines are achieved. Work with business partners (i.e., Surveillance, IT, Operations...
Officer – Swap Advisory who will provide compliance advisory services for Marex's registered Swap Dealer (Marex Derivative... Compliance Advisory services for US Swap Dealer Trade Surveillance process. Provide Compliance Advisory services for US Swap...
Officer - Swap Advisory who will provide compliance advisory services for Marex's registered Swap Dealer (Marex Derivative... Compliance Advisory services for US Swap Dealer Trade Surveillance process. Provide Compliance Advisory services for US Swap...
Software Guidance & Assistance, Inc., (SGA), is searching for a Conflicts Compliance Officer for a FULL TIME assignment... firm is seeking a mid-level Compliance Officer or Attorney to join its Global Compliance team with a focus on the...
Vontobel is seeking a highly motivated and experienced Senior Compliance Officer who is ready to take their career... to put this person on track to assume the Chief Compliance Officer position of one of the RIAs in 12 months. The role...
with and to continue growing and learning collaboratively. Impact We are seeking an experienced Global Chief Compliance Officer to lead... global compliance programs, including Know Your Customer (KYC), Anti-Money Laundering (AML), trade surveillance, sanctions...
U.S. Compliance Officer, Full Time - New York What will you do? Providing advisory and monitoring activities in support... Type of contract Permanent Remaining openings 1 Description & Requirements For our Compliance division in New York...
Officer to join its global compliance team within the Legal and Compliance Department. This role will support the...’s Chief Compliance Officer (CCO) and members of the Legal and Compliance department, including: Reviewing relevant service...
and administration of the Fixed Income compliance program. Coordinate and performs risk assessment, monitoring, testing and surveillance...Application Deadline: 05/27/2025 Address: 151 W 42nd Street Job Family Group: Audit, Risk & Compliance...
. You'll conduct reviews for the Surveillance Program, advise on compliance enhancements, and respond to regulatory inquiries.... Managing non-compliance incidents and reporting to the Chief Compliance Officer are key tasks. You'll also assist with the...
Compliance Officer, the Compliance Department is comprised of functionally aligned teams that operate collaboratively based..., experiences, and perspectives can build careers within this exciting and growing industry. Job Description The Ares Compliance...