- ManpowerGroup (New York, NY)
- …You will gain a ton of exposure by collaborating directly with leaders across compliance , tech, and trading . You will work on both manual and system-based ... + Equities **Ideal Background** + **Prior experience in:** + Trading desks, or product control, compliance or...in:** + Trading desks, or product control, compliance or trade surveillance + Reviewing, investigating, and escalating… more
- Citigroup (Getzville, NY)
- …extensively with a range of internal stakeholders including Front Office Sales and Trading Desks, Compliance , Legal, Finance and HR; alongside having significant ... interaction with our external client base, playing a key role in the overall client experience. We have a Client relationship group dedicated to overseeing the group service performance and strategic partnership for our top tier client base, where we play a… more
- JPMorgan Chase (New York, NY)
- …launches or changes collaborating across the investment management, business channels, trading , legal, compliance , risk, finance, tax, operations and technology ... teams + Provide subject matter expertise on our offerings throughout the organization, assisting in addressing complex requests and representing these offerings in committees and forums + Lead efforts to consolidate products, streamlining the offering to… more
- Broadridge Financial Solutions (New York, NY)
- …Loan Obligation), streamlining activities like portfolio management, research, origination, trading , and compliance . We help drive business transformation ... for our clients, including asset managers, with solutions for enriching engagement, navigating risk, optimizing efficiency, and growing revenue. Our integrated, front-to-back solutions translate data into actionable insights and streamline the investment life… more
- Robert Half Finance & Accounting (New York, NY)
- …or an RIA, with knowledge of FINRA Regulations/Filings, policies/procedures, personal trading review/Personal Account Dealings, compliance testing and AML/KYC. ... or an RIA + Knowledge of FINRA Regulations/Filings, policies/procedures, personal trading review/Personal Account Dealings, compliance testing and AML/KYC +… more
- Coinbase (Albany, NY)
- …to communicate and work with various teams outside of Finance (such as Legal/ Compliance , Trading Operations and other Product/Engineering groups), and a desire ... monitoring, accounting, reporting and analysis of business activity and all regulatory compliance requirements related to the registered FCM. This position will work… more
- Citigroup (New York, NY)
- …extensively with a range of internal stakeholders including Front Office Sales and Trading Desks, Banking, Compliance , Legal, Finance and HR; alongside having ... + Develop an effective control framework that fully meets Audit, Compliance and Regulatory requirements; delivery of periodic presentations to external regulators… more
- BlackRock (New York, NY)
- …areas: + Performance attribution + Trading Order management (OMS) or electronic trading systems (EMS) + Investment Compliance + Post Trade Operations and ... high priority clients and consult their client teams to address complex compliance challenges and gain deeper workflow & product knowledge **Desired Qualifications**… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... **About the Role:** **Grade Level (for internal use):** 11 ** Compliance & Control, Senior Analyst - Ratings** **The Role**...global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts… more
- Scotiabank (New York, NY)
- …least 3 of which should involve testing or audit. + Experience/background in compliance applicable to institutional trading & sales, investment banking, futures ... Compliance Testing Senior Manager, Swap Dealer and Derivatives...financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign… more