- Insight Global (New York, NY)
- …to gather information and develop clear, concise, and comprehensive documentation of trading systems. -Regulatory Compliance : Ensure all documentation adheres to ... industry standards and meets the requirements set forth by European regulators. -Technical Writing: Produce user manuals, system specifications, process documentation, and other technical materials as needed. -Language Support: Work closely with team members… more
- Robert Half Finance & Accounting (Greenwich, CT)
- …and loss (P& L) reports and provide detailed insights to stakeholders. * Monitor trading risk exposure and ensure compliance with established risk limits. * ... client a Greenwich based Hedge Fund continues to build out their physical energy trading business. This role offers an opportunity to work in a dynamic environment,… more
- Scotiabank (Tampa, FL)
- …Functions Compliance to ensure escalation and resolution of Employee Compliance (eg, personal trading , outside business activities) matters pertaining to ... Director, US Bank Regulatory Compliance , Global Transaction Banking **Requisition ID:** 222945 **Salary...an inclusive and high-performing culture. **Director - US Regulatory Compliance Officer - Global Banking & Markets - Tampa,… 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
- Trexquant Investment (Stamford, CT)
- …+ Work closely with quantitative researchers, engineers, and traders to integrate compliance into our algorithmic trading framework. + Oversee regulatory filings ... trends, participate in SEC outreach programs, and proactively adapt to new compliance challenges in systematic trading . Requirements + Bachelor's degree, with… 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
- Brink's (Coppell, TX)
- …and public communications + Monitor and advise on disclosure controls , insider trading , and Regulation FD compliance Corporate Governance and Board Support + ... will be responsible for providing legal support on securities law compliance , corporate governance, and public company reporting obligations. The successful… more
- Target (Minneapolis, MN)
- …public company matters by: + Providing practical, informed advice on '34 Act and NYSE compliance matters + Leading insider trading and Section 16 compliance ... Legal Affairs is a dynamic and deeply knowledgeable group of legal, compliance , and government affairs professionals, each with valuable expertise from several… more
- Scotiabank (Houston, TX)
- …conflicts of interest arising from private-side deals, publication of research or trading activities; + Work collaboratively with other Compliance Advisory teams ... Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range shown is a… more
- Bloomberg (New York, NY)
- …products. We build the **data access and API platforms** that power everything from trading workflows to risk and compliance systems. If you're interested in ... outbound data integration for critical workflows such as **order processing** , ** compliance ** , and **operational risk** reporting. + We focus on **reliability** ,… more
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