- WSFS Bank (Wilmington, DE)
- …more than part of our name, it's our mission and our purposeThe Trust Officer will be responsible for daily administration of personal trust accounts of moderate to ... personal trust accounts and relationships, including those of high-net worth individuals; Compliance and legal projects as required; Support other duties that may… more
- Citigroup (Getzville, NY)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Personal Trading & Outside Activities team responsible for ... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice… more
- Citigroup (New York, NY)
- Serves as an Electronic Trading (ET) product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance related guidance across Electronic Trading (ET) businesses and… more
- Hold Brothers (New York, NY)
- …ensure goals are delivered. We are seeking a highly skilled and experienced public equities trading Compliance Officer to join our team. The Compliance ... LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate/ Officer to join the team. He/she...field + 4+ years of experience in public equities trading compliance + Series 7 required, Series… more
- JPMorgan Chase (New York, NY)
- …has dual reporting into to the Corporate Investment Bank (CIB) Chief Financial Officer and the Oversight and Control Office. The team focuses on four areas: ... partnership with colleagues across the firm, business, operations management, legal, compliance , risk, audit, regulators, and technology control functions to promote… more
- Bloomberg (New York, NY)
- SEF Compliance Surveillance Lead and Advisory Compliance Officer - Legal & Compliance **New York, NY** Posted Apr 25, 2024 - Requisition No. 124842 The ... energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough;...We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF … more
- Robert Half Finance & Accounting (Chicago, IL)
- Description We are offering an exciting opportunity for a Compliance Officer in the Financial Services industry, based in Chicago, Illinois. The role involves ... implementing and enforcing compliance policies, conducting regular reviews of trading ...the Financial Services industry * Proven experience in a Compliance Officer role or similar is essential… more
- S&P Global (New York, NY)
- **About the Role:** **Grade Level (for internal use):** 12 **The Role: Compliance Officer ** The Compliance Officer role is based in Englewood or New York ... Officers both in North America and globally, the Compliance Officer will be the primary liaison...monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance… more
- Wells Fargo (New York, NY)
- … Compliance Officers** in Corporate Risk as part of **Equity Sales and Trading Compliance .** Learn more about the career areas and business divisions at ... wellsfargojobs.com . Equities Sales and Trading Compliance provides coverage for Cash, Derivatives, Electronic Trading , Research Sales, Corporate Access, and… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and ... portfolios including trade surveillance, e-communications and voice surveillance, employee trading , outside activities surveillance, and information barrier surveillance. **Responsibilities:**… more
- Bloomberg (New York, NY)
- Senior Data Privacy Compliance Officer - Legal & ...The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; ... make it happen. What's the role? Bloomberg's Legal & Compliance Department plays a critical role in supporting our...to data services, from content and analytics to electronic trading , in a fast-paced and dynamic environment. Bloomberg has… more
- SMBC (New York, NY)
- …to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of ... the compliance program for an investment advisory firm in Manhattan,...programs, policies, and automated systems, including for both personal trading and firm trading . + Serve as… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Bloomberg Tradebook - Legal...The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we ... up to you to make it happen. **What's the role?** Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Trade / Export Control...The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we ... correspond with regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in US export control regulations specifically applicable to… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage...monitoring of the broker dealers public side sales and trading groups with a focus on all Fixed Income… more
- Erickson Living (Baltimore, MD)
- …satisfaction, driving high occupancy, and positive health outcomes. The VP of Chief Compliance Officer oversees components of the compliance program related ... within the organization. + Participate in the development, implementation, and ongoing compliance monitoring of business associate agreements and trading partner… more
- Bloomberg (New York, NY)
- Compliance Investigations and Ethics Officer - Legal...The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we ... make it happen. **What's the role?** Bloomberg's Legal & Compliance Department plays a critical role in supporting our...evidenced by our award-winning pro bono program. The Global Compliance team provides coverage of our regulated entities and… more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Surveillance Compliance officer to join their team in New York. The ... Equity, Fixed Income, Commodities, Derivatives (Futures, Options, Swaps)) on multiple exchanges, trading platforms and venues with an opportunity to gain exposure to… more
- Citigroup (Tampa, FL)
- …significant risk issues and breaches to executive management. + Work closely with trading , logistics, compliance , and other relevant departments to ensure a ... risk and controls mindset along with extensive experience in physical commodities trading and logistics. This role is critical in identifying, assessing, and… more
- SMBC (Jersey City, NJ)
- …a competitive portfolio of benefits to its employees. **Role Description** The Employee Compliance Officer will join a team that is responsible for implementing ... the firm's policies on personal trading and investments, outside business activities, political contributions, and...attestations. This position reports to the Head of Employee Compliance in the SMBC Americas Division. **Role Objectives** +… more
