- NatWest Markets (Stamford, CT)
- Director Electronic Trading Compliance Officer, US Stamford,United States Permanent Full Time \#R-00241613 Share: ... ensure the proper operations of the department and the business. **Director, Electronic Trading Compliance Officer, US** Seeking an experienced compliance … more
- BP Americas, Inc. (Omaha, NE)
- …energy company! The Compliance Manager is a key member of the Ethics & Compliance ("E&C") team supporting Trading & Shipping's ("T&S") Gas & Power Trading ... trading & marketing business. The purpose of the Ethics & Compliance - Trading & Shipping function is to promote compliance with externally defined… more
- Arizona Public Service (Phoenix, AZ)
- …regional markets, making strategic decisions about buying, generating, and selling energy. + Trading & Compliance : Execute trading activities in ... Short-Term Trader, Associate / Trader | Term Trading Apply now " Date: Nov 18, 2024...and switchyards to maintain accurate scheduling and control. Export Compliance / EEO Statement This position may require access… more
- Mizuho Corporate Bank (New York, NY)
- …rate swaps, US treasuries and futures. In this role, you will interact directly with trading , quantitative, compliance and risk, and IT functions to deliver new ... Join the Mizuho team as an Electronic Trading Sr. Java Developer! Overview This is a...trading capabilities and services leveraging modern technologies and data… more
- LS Power Development, LLC (New York, NY)
- …streams such as power, ancillaries, and capacity + Formulate risk management and trading strategies + Ensure compliance with strategic objectives and existing ... and divestiture efforts, primarily through the support of asset market and trading activities, analysis of and certifications related to hedging and trading… more
- JPMorgan Chase (New York, NY)
- …agendas: New product, strategy & business solutions; Support audit, regulatory and compliance deliverables; Trading desk & trade lifecycle processes & ... and compliance with regulatory requirements + Manage and optimize trading processes, systems, and infrastructure to improve efficiency and effectiveness + Lead… more
- Wells Fargo (Charlotte, NC)
- …the business aligned compliance functions on the Fixed Income Sales & Trading Compliance Team. Will be responsible for supporting one of the following ... inquiries and regulatory initiatives related to the Fixed Income Sales & Trading compliance program + Execute on compliance activities related to the Fixed… more
- Morgan Stanley (New York, NY)
- …business lines, legal entities and jurisdictions of operation. The Sales and Trading Compliance Group in Institutional Securities Compliance advises ... and promote best practices. Primary Responsibilities This individual will provide advisory compliance support for ISG Equity Sales and Trading , covering… more
- US Bank (Charlotte, NC)
- …Room Manager in maintaining the USBI and USB information barriers and employee trading compliance programs, including the management and control of confidential ... foreign exchange, debt origination, debt underwriting and sales and trading . The Compliance Control Room Officer is responsible for assisting the Control… more
- Liberty Utilities (Pine Bluff, AR)
- …certifications. + Manage anti-bribery, corruption, and conflict of interest programs. FERC and Trading Compliance Programs + Provide input to FERC/RTO and ... Enterprise Compliance Leader Apple Valley, CA, US, 92308Joplin, MO, US,...trading compliance programs + Develop and test training, guidance, and controls.… more
- Wellington (Chicago, IL)
- … compliance program as well as its global investment platform and trading compliance program, focusing on information controls. As Wellington is expanding ... perspectives with those of our clients. **About the Role** Position Overview The Compliance Analyst will support Wellington Management's global private investments… more
- TD Bank (Charlotte, NC)
- …the firm's non- trading market risk positions and metrics + Ensures the compliance of the Non- Trading Market Risk processes with US regulations. Understands ... details for this role. **Job Description:** **Preferred Qualifications:** Focus on Non- Trading Market Risk (Interest Rate Risk on Banking Book or Treasury/Balance… more
- TD Bank (New York, NY)
- …the firm's non- trading market risk positions and metrics + Ensures the compliance of the Non- Trading Market Risk processes with US regulations. Understands ... details for this role. **Job Description:** **Preferred Qualifications:** Focus on Non- Trading Market Risk (Interest Rate Risk on Banking Book or Treasury/Balance… more
- TD Bank (New York, NY)
- …the firm's non- trading market risk positions and metrics + Ensures the compliance of the Non- Trading Market Risk processes with US regulations. Understands ... details for this role. **Job Description:** **Preferred Qualifications:** Focus on Non- Trading Market Risk (Interest Rate Risk on Banking Book or Treasury/Balance… more
- US Bank (Minneapolis, MN)
- …adviser and sub-advisers. This position also will primarily assist with Portfolio and Trading Compliance and the overall daily monitoring of trade activity. This ... and controls. **_Key Responsibilities:_** Assist the Director of Portfolio and Trading Compliance (" Compliance Director") with the compliance program… more
- BlackRock (New York, NY)
- …discipline relating to Fixed Income or Equities, such as, but not limited to, Trading , Operations, Legal & Compliance , etc. + Deep knowledge and understanding of ... iShares(R) ETFs. The Market Structure team sits within BlackRock's Global Trading organization which provides execution services globally across all asset classes… 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
- Scotiabank (New York, NY)
- …and leverage broader Bank relationships, systems, and knowledge. + Provide day-to-day compliance support for equities securities trading and sales businesses by ... and procedures, to the businesses. + Communicate with sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory… more
- Federal Reserve Bank (New York, NY)
- …and resiliency, business process modeling, internal controls over financial reporting, and trading compliance , among other core areas that promote effective risk ... and resiliency, business process modeling, internal controls over financial reporting, and trading compliance , among other core areas that promote effective risk… more
- ExxonMobil (Spring, TX)
- …function. A member of the Quantitative Risk team which is part of the Trading Risk & Compliance organization, the successful candidate will help support ... ExxonMobil's Upstream Gas & Power as well as Downstream Crude & Products trading activities. The position is based in Spring, Texas at the ExxonMobil Houston Campus.… more
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