Equities Compliance Officer jobs - New York, NY
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| Sep 06 | VP - Regulatory Compliance | Addison Search | New York, NY |
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Compliance International broker dealer in is seeking a senior compliance ... regulations and providing updates to chief compliance officer as well as front office... more |
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| Sep 06 | VP - Regulatory Compliance | Addison Search | New York, NY |
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Compliance International broker dealer in is seeking a senior compliance ... regulations and providing updates to chief compliance officer as well as front office... more |
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| Sep 06 | VP - Regulatory Compliance | Addison Search | New York, NY |
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Compliance International broker dealer in is seeking a senior compliance ... regulations and providing updates to chief compliance officer as well as front office... more |
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| Sep 04 | Equities Compliance Officer | UBS | Stamford, CT |
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Equities Compliance within the UBS IB Americas Compliance Department is ... The mission of UBS-IB Equities Compliance is: * To provide day-to-day advisory /... more |
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| Sep 04 | FI Structured Products Compliance Officer | UBS | Stamford, CT |
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FI Structured Products Compliance Officer will be responsible for providing coverage ... related matters, work with Equities Compliance on cross asset class matters,... more |
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| Sep 04 | Technology Project Manager - COBRA platform build out | Newark, NJ | |
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interaction with numerous Technology teams (Compliance, Equities, Derivatives, B&R ... required for a minimum of 2 products (Equities and Equity Derivatives preferred)... more |
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| Sep 03 | Equities Compliance Officer | UBS Financial Services | Stamford, CT |
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Title Equities Compliance Officer Job Reference # 62503BR Location United States - ... The mission of UBS-IB Equities Compliance is: * To provide day-to-day advisory /... more |
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| Sep 03 | FI Structured Products Compliance Officer | UBS Financial Services | Stamford, CT |
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The FI Structured Products Compliance Officer will be responsible for providing ... related matters, work with Equities Compliance on cross asset class matters,... more |
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| Sep 03 | Sr. Securities Compliance Officer ? (Capital Markets & Broker/Dealer) | Compliance Search Group | New York, NY |
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Compliance and General Broker Dealer Compliance. RESPONSIBILITIES INCLUDE: Advise ... banking staffs; products include: credit, equities, interest rates and foreign... more |
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| Sep 03 | New Product/Governance Executive | Bank of America | New York, NY |
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a Product Area or several Product Areas (Equities, Rate Derivatives, etc.). ... of other risk and support groups (i.e. Compliance, Finance, Operations, etc.). more |
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| Sep 02 | Sales Executive - PTA | SunGard Financial Systems | New York, NY |
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at the executive level, calling on Chief Compliance and Technology officers * Create ... selling into financial institutions (compliance, and/or risk management... more |
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| Sep 02 | INVESTMENT MANAGEMENT SENIOR COMPLIANCE OFFICER w/ EQUITIES/F.I. PROD | New York, NY | |
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INVESTMENT MANAGEMENT SENIOR COMPLIANCE OFFICER w/ EQUITIES/F.I ... Compliance Officer within their Legal and Compliance department who will participate... more |
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| Sep 02 | Chief Financial Officer | Fintech | Edison, NJ |
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Funding companies, bank contacts, Private Equities and VC specialized in staffing ... on ongoing basis Strong knowledge of COMPLIANCE Any experience with publicly... more |
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| Sep 01 | Compliance Officer | JPMorgan Chase | New York, NY |
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Markets, Rates Markets, Emerging Markets, Equities, Commodities, F/X, Futures & ... fixed income trading activities to ensure compliance with mutual fund, investment... more |
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| Sep 01 | Compliance Officer | JPMorgan Chase | Jersey City, NJ |
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Markets, Rates Markets, Emerging Markets, Equities, Commodities, F/X, Futures & ... fixed income trading activities to ensure compliance with mutual fund, investment... more |
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| Aug 31 | Senior Compliance Officer-Product | Citi | New York, NY |
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Senior Compliance Officer-Product-10025712 Description Equities Compliance ... inquiries and examinations. Work with Equities Compliance to create new... more |
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| Aug 31 | Compliance Officer | JPMorgan Chase | New York, NY |
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Compliance Officer Location: NY-New York The Legal and Compliance Department of ... Markets, Rates Markets, Emerging Markets, Equities, Commodities, F/X, Futures &... more |
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| Aug 31 | Compliance Director-Product | Citi | New York, NY |
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Compliance Director-Product-10016181 Description The Bank Regulatory Compliance Officer ... responsible for advising Fixed Income and Equities businesses on compliance with... more |
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| Aug 31 | Ops Support Analyst 2 | Citi | New York, NY |
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calls and collateral movements, ensuring compliance of regulatory and firm policies, ... of the following areas: Derivatives, Repos, Equities, Futures, Mortgage TBA's, or FX. more |
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| Aug 31 | Ops Support Analyst 2 | Citi | New York, NY |
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calls and collateral movements, ensuring compliance of regulatory and firm policies, ... of the following areas: Derivatives, Repos, Equities, Futures, Mortgage TBA's, or FX. more |
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| Aug 30 | Market Risk Analyst- Compliance and Regulatory | Societe Generale | New York, NY |
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products related to Rates, Credit, Equities, Commodities Solid analytical ... trading with exposure to regulation and compliance EDUCATION Required/Must have:... more |
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| Aug 30 | Application Manager - Trading Opera... | GE | Stamford, CT |
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term view, across all asset classes; US Equities, International Equities, Fixed ... Communicate standards, policies, & compliance requirements * Identify critical... more |
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| Aug 30 | Application Manager - Trading Operations | GE | Stamford, CT |
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term view, across all asset classes; US Equities, International Equities, Fixed ... Communicate standards, policies, & compliance requirements * Identify critical... more |
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| Aug 28 | Senior Compliance Officer | Allianz | New York, NY |
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Senior Compliance Officer Posted: 3/8/2010 City New York State NY Country US ... Compliance Program with an emphasis on equities. The Senior Compliance Officer must... more |
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| Aug 27 | Business & Compliance Supervisor - Equities | MF Global Holdings | New York, NY |
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work closely with Compliance to ensure the Equities trading desks are in compliance ... Business Supervisor or Equities Compliance Officer Bachelor's degree Relevant financial... more |
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| Aug 27 | Compliance Manager, Advisory Functions | GE | Stamford, CT |
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position will report to the firms Chief Compliance Officer and will work closely ... advisory compliance functions Lead client compliance operating procedures including:... more |
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| Aug 27 | Fund Accountant | Chilton Investment Company | Stamford, CT |
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and Hong Kong. Chairman and Chief Executive Officer Richard L. Chilton, Jr. formed ... an investment partnership that trades in equities, options, total return swaps and... more |
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| Aug 27 | Equity Compliance Officer | Stamford, CT | |
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The mission of Equities Compliance is: * To provide day-to-day advisory / ... skills and experience include equities compliance experience; regulatory or... more |
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| Aug 26 | INVESTMENT MANAGEMENT Sr. COMPLIANCE OFFICER w/Equities | New York, NY | |
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COMPLIANCE OFFICER w/Equities * Address:New York, NY 10019 (map) * Date ... Description INVESTMENT MANAGEMENT SENIOR COMPLIANCE OFFICER w/ EQUITIES/F.I. PRODUCT... more |
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| Aug 26 | INVESTMENT MANAGEMENT SENIOR COMPLIANCE OFFICER w/ EQUITIES/F.I. PROD | New York, NY | |
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forINVESTMENT MANAGEMENT SENIOR COMPLIANCE OFFICER w/ EQUITIES/F.I. PROD * Address:New ... Description INVESTMENT MANAGEMENT SENIOR COMPLIANCE OFFICER w/ EQUITIES/F.I. PRODUCT... more |
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| Aug 26 | Compliance Manager, Advisory Functi... | GE | Stamford, CT |
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report to the firm’s Chief Compliance Officer and will work closely with other ... compliance functions • Lead client compliance operating procedures including: *New... more |
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| Aug 24 | Sr. Equities Compliance Manager | Investment Manager Or Mutual Fund | New York, NY |
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INVESTMENT MANAGEMENT SENIOR COMPLIANCE OFFICER w/ EQUITIES/F.I ... Compliance Officer within their Legal and Compliance department who will participate... more |
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| Aug 23 | Senior Advisory Compliance Officer | Financial Services Company | New York, NY |
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Advisory Compliance Officer. The Compliance Officer should have 5-10 years of experience ... Who we are looking for : The Advisory Compliance Officer should have a mid/senior... more |
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| Aug 23 | Senior Advisory Compliance Officer | Financial Services Company | New York, NY |
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Advisory Compliance Officer. The Compliance Officer should have 5-10 years of experience ... Who we are looking for : The Advisory Compliance Officer should have a mid/senior... more |
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| Aug 23 | VP Equities Surviellance | Financial Services Company | New York, NY |
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officers covering Institutional Equities. The compliance officers should ... Who we are looking for : The VP of Equities Surveillance (5-10 years) should... more |
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| Aug 23 | VP Equities Surviellance | Financial Services Company | New York, NY |
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officers covering Institutional Equities. The compliance officers should ... Who we are looking for : The VP of Equities Surveillance (5-10 years) should... more |
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| Aug 23 | Sr. J2EE Developer | Hatstand | Stamford, CT |
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on developing reporting solutions for compliance and risk control officers. ... for a framework that supports reporting for compliance and risk control officers Create... more |
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| Aug 16 | Trade Surveillance Officer - Equities | Michael Page International | New York, NY |
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brand is seeking a trade surveillance officer on the equities side. This position ... and answering day-to-day sales and compliance questions regarding trading... more |
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| Aug 16 | Trade Surveillance Officer - Equities | Michael Page International | New York, NY |
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brand is seeking a trade surveillance officer on the equities side. This position ... and answering day-to-day sales and compliance questions regarding trading... more |
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| Aug 13 | Senior Compliance Officer-Product | Citi | New York, NY |
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Senior Compliance Officer-Product Location: NY-New York Equities Compliance ... Specialist The position is for an Equities Compliance Technology Specialist... more |
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| Aug 13 | Senior Compliance Officer-Product | Citi | New York, NY |
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Equities Compliance Technology Specialist The position is for an Equities Compliance ... inquiries and examinations. Work with Equities Compliance to create new... more |
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| Aug 13 | Market Making Compliance | Jack Kelly | New York, NY |
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Compliance Officer will provide line compliance advisory coverage to Institutional ... in compliance with at least three years in Equities. Series 7, 55 and 24 are preferred,... more |
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| Aug 13 | GARP - Market Risk Manager | Robert Walters | New York, NY |
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a Product Area or several Product Areas (Equities, Rate Derivatives, etc.). In ... of other risk and support groups (i.e. Compliance, Finance, Operations, etc.). more |
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| Aug 12 | Market Risk Manager | Robert Walters | New York, NY |
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a Product Area or several Product Areas (Equities, Rate Derivatives, etc.). In ... of other risk and support groups (i.e. Compliance, Finance, Operations, etc.). more |
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| Aug 11 | Senior Advisory Compliance Officer | Global Investment Bank | New York, NY |
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level Advisory Compliance Officer. The Compliance Officer should have 5-10 years of ... The Advisory Compliance Officer should have a mid/senior level knowledge of... more |
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| Aug 11 | Vice President, Equities Surveillance | Financial Institution | New York, NY |
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officers covering Institutional Equities. The compliance officers should ... have 5-10 years of experience. The VP of Equities Surveillance (5-10 years) should... more |
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| Aug 11 | Sales Executive - PTA | SunGard | New York, NY |
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at the executive level, calling on Chief Compliance and Technology officers* Create ... selling into financial institutions (compliance, and/or risk management... more |
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| Aug 11 | Sales Executive - PTA | SunGard | Jersey City, NJ |
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at the executive level, calling on Chief Compliance and Technology officers* Create ... selling into financial institutions (compliance, and/or risk management... more |
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| Aug 10 | Director, Trading Technology | Yardley Search Group | New York, NY |
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of the equities business, in addition to strong knowledge of enterprise risk ... finance, compliance and back office operations. • Understanding of current and relevant... more |
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| Aug 10 | Sales Executive - Protegent Energy | SunGard | New York, NY |
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Energy trading, operations, compliance, and/or risk management experience a plus ... at the executive level, calling on Chief Compliance and Technology officers and/or... more |
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| Aug 10 | Operations | Citigroup | New York, NY |
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calls and collateral movements, ensuring compliance of regulatory and firm policies, ... of the following areas: Derivatives, Repos, Equities, Futures, Mortgage TBA's, or FX. more |
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| Aug 09 | Chief Operating Officer Sourcing Manager - Global Markets Equities- Vice President | A Financial Services Company | New York, NY |
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point for service deficiencies, non compliance with metrics or service specification. Sourcing Managers maintain the relationship with the Service Providers: regular review of how... more |
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| Aug 07 | Senior Advisory Compliance Officer | Michael Page International | New York, NY |
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level Advisory Compliance Officer. The Compliance Officer should have 5-10 years of ... The Advisory Compliance Officer should have a mid/senior level knowledge of... more |
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| Aug 07 | VP Equities Surviellance | Michael Page International | New York, NY |
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officers covering Institutional Equities. The compliance officers should ... have 5-10 years of experience. The VP of Equities Surveillance (5-10 years) should... more |
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| Aug 06 | Surveillance Officers - VP Equities/VP Options | Michael Page | New York, NY |
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Equities and an additional VP level compliance officer to cover Institutional ... have 5-10 years of experience. The VP of Equities Surveillance (5-10 years) should... more |
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| Aug 05 | Cash Equities IT PMO | New York, NY | |
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Front office, Product Control, Risk, Compliance IT, Regulatory at various levels ... banking industry with specific knowledge of Equities products and Finance. * Solid... more |
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| Aug 04 | Trade Surveillance Officer - Equities | Michael Page International | New York, NY |
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brand is seeking a trade surveillance officer on the equities side. This position ... and answering day-to-day sales and compliance questions regarding trading... more |
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| Aug 04 | Managing Director - Alternative Investment Solutions | Nationstaff | New York, NY |
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knowledge of Regulations & Regulatory compliance Practical experience and/or knowledge ... Fund – COO, CTO , CRO or Head of Equities, Derivatives etc. from a Prime Broker... more |
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| Aug 02 | Ops Support Analyst 2 | Citi | New York, NY |
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calls and collateral movements, ensuring compliance of regulatory and firm policies, ... of the following areas: Derivatives, Repos, Equities, Futures, Mortgage TBA's, or FX. more |
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| Jul 28 | Chief Compliance Officer at Broker Dealer | Pyramid Consulting Group | New York, NY |
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broker dealer looking to add a Chief Compliance Officerto their team. The firm's ... and manage new hire materials Draft Compliance Alerts, Compliance Manuals and... more |
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| Jul 28 | Risk Management | Bank of America | New York, NY |
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The Global Control Room seeks a Compliance Officer to be a part of the AMRS Region ... with the Line of Business Product and Compliance officers to resolve identified... more |
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| Jul 27 | Compliance Manager-Equities Sales and Trading | Piper Jaffray | New York, NY |
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currently seeking a Compliance Manager for Equities Sales and Trading to join our team ... support area of responsibility. Identifies compliance problems through compliance... more |
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| Jul 27 | Investment Banking Compliance Officer - Bank Regulatory | Investment Banking | New York, NY |
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the firms institutional Fixed Income and Equities businesses. Bachelors degree. 5+ years experience in bank regulatory compliance with a banking regulator, an investment bank, a... more |
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| Jul 27 | Compliance Manager, Advisory Functions | GE | Stamford, CT |
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position will report to the firm's Chief Compliance Officer and will work closely ... advisory compliance functions Lead client compliance operating procedures including:... more |
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| Jul 26 | Institutional Equities S&T Compliance | Compliance Search Group | New York, NY |
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Equities S&T Compliance - Business Side in Greater New York City Equities ... 10 yrs. Experience - Institutional Equities Compliance Sales & Trading RESPONSIBILITIES... more |
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| Jul 26 | Institutional Equities S&T Compliance | Compliance Search Group | New York, NY |
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Equities S&T Compliance - Business Side in Greater New York City Equities ... yrs. Experience - Institutional Equities Compliance Sales & Trading RESPONSIBILITIES... more |
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| Jul 26 | Compliance Manager-Equities Sales and Trading | Piper Jaffray | New York, NY |
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currently seeking a Compliance Manager for Equities Sales and Trading to join our team ... support area of responsibility. Identifies compliance problems through compliance... more |
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| Jul 26 | Bank Regulatory Compliance Officer Investment Bank | Compliance Search Group | New York, NY |
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Regulatory Compliance Officer – Investment Bank Top-tier global investment bank ... Compliance Officer. The Bank Regulatory Compliance Officer will be responsible for... more |
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| Jul 25 | Compliance Manager-Equities Sales and Trading | Piper Jaffray & Co | New York, NY |
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currently seeking a Compliance Manager for Equities Sales and Trading to join our team ... support area of responsibility. Identifies compliance problems through compliance... more |
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| Jul 24 | Equities Project Manager | Kforce Finance & Accounting Staffing | New York, NY |
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Control, Financial Control, Regulatory, and Compliance/Surveillance. Main ... Front office, Product Control, Risk, Compliance IT, Regulatory at various levels... more |
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| Jul 22 | COMPLIANCE AUDIT EXAMINER | Leading Global Investment Bank | Stamford, CT |
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Candidate requirements / qualifications: * Must have Compliance Officer ... Anti-Money Laundering (AML) Officer, Chief Compliance Officer (CCO)/Boutique Investment... more |
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| Jul 21 | Compliance Officer | FPC (Fortune Personnel Consultants) | New York, NY |
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financial institution, is seeking a Compliance Officer to join the team. This ... Products, Derivatives, Sales and Trading, Equities, Fixed Income. more |
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| Jul 21 | Equities Compliance Officer | UBS Financial Services | Stamford, CT |
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Title Equities Compliance Officer Job Reference # 62503BR Location United States - ... Equities Compliance within the UBS IB Americas Compliance Department is... more |
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| Jul 21 | Application Manager - Trading Opera... | GE | Stamford, CT |
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term view, across all asset classes; US Equities, International Equities, Fixed ... standards, policies, & compliance requirements • Identify critical path... more |
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| Jul 19 | Institutional Equities S&T Compliance - Business Side | Compliance Search Group | New York, NY |
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10 yrs. Experience - Institutional Equities Compliance Sales & Trading RESPONSIBILITIES ... People QUALIFICATIONS * Proficient in equities trading rules: short sales, error... more |
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| Jul 19 | Application Manager - Trading Operations | GE | Stamford, CT |
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term view, across all asset classes; US Equities, International Equities, Fixed ... Communicate standards, policies, & compliance requirements* Identify critical... more |
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| Jul 17 | Bank Regulatory Compliance Officer ? Investment Bank | Compliance Search Group | New York, NY |
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Compliance Officer. The Bank Regulatory Compliance Officer will be responsible for ... He/she will also be involved with the following: Provide advice on compliance with... more |
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| Jul 15 | Equities Compliance Officer | UBS Financial Services | Stamford, CT |
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Title Equities Compliance Officer Job Reference # 62503BR Location United States - ... The mission of UBS-IB Equities Compliance is: * To provide day-to-day advisory /... more |
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| Jul 15 | Equities Compliance Officer | UBS Financial Services (home Office) | Stamford, CT |
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Equities Compliance within the UBS IB Americas Compliance Department is ... The mission of UBS-IB Equities Compliance is: To provide day-to-day advisory /... more |
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| Jul 15 | Application Manager - Trading Operations | GE | Stamford, CT |
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term view, across all asset classes; US Equities, International Equities, Fixed ... Communicate standards, policies, & compliance requirements Identify critical... more |
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| Jul 12 | FI Structured Products Compliance Officer | UBS Financial Services | Stamford, CT |
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The FI Structured Products Compliance Officer will be responsible for providing ... related matters, work with Equities Compliance on cross asset class matters,... more |
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| Jul 12 | J2EE / Java Developer | UBS Financial Services | Stamford, CT |
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on developing reporting solutions for compliance and risk control officers. ... for a framework that supports reporting for compliance and risk control officers. *... more |
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| Jul 09 | Equities Advisory Compliance | Compliance Search Group | New York, NY |
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Services firm seeks a Senior Institutional Equities Advisory Compliance Officer. ... with 5 +years equities sales and trading compliance experience. Will provide advisory... more |
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| Jul 09 | Fixed Income Compliance Officer | Michael Page International | New York, NY |
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a mid-senior level fixed income compliance officer. The role is within a rapidly ... internal growth potential. The Compliance Officer will cover the following areas;... more |
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| Jul 08 | BA Trading Systems | Dandy Project | New York, NY |
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Required:- Understanding of Equities Trading, both Listed and OTC Market ... facilitate meetings with key stakeholders: Compliance, IT, Traders, COO's- Ensure that... more |
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| Jul 07 | Application Manager - Trading Operations | GE | Stamford, CT |
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term view, across all asset classes; US Equities, International Equities, Fixed ... Communicate standards, policies, & compliance requirements Identify critical... more |
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| Jun 26 | Investment Banking | Bank of America | New York, NY |
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a Product Area or several Product Areas (Equities, Rate Derivatives, etc.). In ... of other risk and support groups (i.e. Compliance, Finance, Operations, etc.). more |
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| Jun 25 | FI Structured Products Compliance Officer | UBS Financial Services | Stamford, CT |
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The FI Structured Products Compliance Officer will be responsible for providing ... related matters, work with Equities Compliance on cross asset class matters,... more |
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| Jun 23 | Compliance Manager, Advisory Functions | GE | Stamford, CT |
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position will report to the firm's Chief Compliance Officer and will work closely ... advisory compliance functions . Lead client compliance operating procedures including:... more |
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| Jun 21 | Director- Equities Sales and Trading Compliance | Www. Compliancesearch.com | New York, NY |
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an Equities Sales and Trading Compliance officer. RESPONSIBILITIES: Provide ... PRIOR WORK EXPERIENCE: Required/Must have: 7+ years of equity trading compliance... more |
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| Jun 19 | Investment Bank Technology Manager | Gambit Technologies | New York, NY |
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interaction with numerous Technology teams (Compliance, Equities, Derivatives, B&R ... required for a minimum of 2 products (Equities and Equity Derivatives preferred)... more |
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| Jun 17 | COO Sourcing Manager - GME Equities - VP | Deutsche Bank | New York, NY |
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client relationship focus to Global Markets Equities. Role Description Purpose of the ... point for service deficiencies, non compliance with metrics or service... more |
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| Jun 16 | Compliance Director-Product-10016181 | New York, NY | |
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Compliance Director-Product-10016181 Description The Bank Regulatory Compliance Officer ... responsible for advising Fixed Income and Equities businesses on compliance with... more |
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| Jun 10 | Compliance Director-Product | Citi | New York, NY |
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Compliance Director-Product Location: NY-New York The Bank Regulatory Compliance ... responsible for advising Fixed Income and Equities businesses on compliance with... more |
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| Jun 03 | Equity Compliance Officer | UBS Financial Services | Stamford, CT |
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investigations.. The mission of UBS-IB Equities Compliance is: . To provide ... Relevant skills and experience include equities compliance experience; regulatory... more |
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| May 26 | Director of Equities Sales and Trading Supervision | Compliance Search Group | New York, NY |
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equities trading desks. Main Function The Equities Supervision Group has ... Officer (COO). Reporting to the COO for Equities, the position will coordinate... more |
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| May 15 | Equity Compliance Officer | UBS Financial Services | Stamford, CT |
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The mission of UBS-IB Equities Compliance is: . To provide ... skills and experience include equities compliance experience; regulatory or... more |
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| May 14 | Chief Compliance Officer$200k | New York, NY | |
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their money seeks a Chief Compliance Officer. Immediate Hire***Job Description: ... of day-to-day firm-wide compliance issuesProvide strategic guidance... more |
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| Apr 29 | Application Manager - Trading Operations | GE | Stamford, CT |
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term view, across all asset classes; US Equities, International Equities, Fixed ... Communicate standards, policies, & compliance requirements * Identify critical... more |
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| Apr 24 | Institutional Equities Trading Compliance | Compliance Search Group | New York, NY |
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as Annual Compliance Meetings and other Compliance training. Serve as compliance ... as backup to primary cash trading compliance officer(s). Author new and update... more |
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