- Twist BioScience (South San Francisco, CA)
- …factor into FinalReporting to the Assistant General Counsel of Corporate, Regulatory & Compliance , this role will be instrumental in advising Twist on US corporate ... on equity matters, including equity plan, and compensation issuesEnsure compliance with public company legal, securities, and governance requirements, and… more
- BP Americas, Inc. (Chicago, IL)
- …too. Together we continue to grow as the world's leading energy company! The Commodity Trading Compliance Manager is a key member of the Ethics & Compliance ... and compliance requirements and bp's policies related to trading compliance , including on all relevant financial services and market abuse regulations;… more
- NatWest Markets (Stamford, CT)
- Director Electronic Trading Compliance Officer, US Stamford,United States Permanent Full Time \#R-00241613 Our people work differently depending on their jobs ... ensure the proper operations of the department and the business. **Director, Electronic Trading Compliance Officer, US** Seeking an experienced compliance … more
- Tri-State Generation and Transmission Association, Inc. (Westminster, CO)
- …SPP WEIS, CAISO WEIM or WECC. + Provide evidence of Resource Dispatch and Trading ?s compliance with NAESB, NERC and RRO Reliability Standards and Business ... Market (WEIM) and bilateral markets within the operational and compliance parameters set forth by the regulations, reliability standards...will be filled at either the Resource Dispatch and Trading Trainee (job grade 7), Resource Dispatch and … 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
- ExxonMobil (Spring, TX)
- …* Compliance experience in futures, financial and physical commodities trading * Working knowledge of commodity regulations/reporting * Experience with risk ... in Our Team** Join ExxonMobil as a Regulatory & Compliance Advisor. Become part of a team responsible for... activities associated with ExxonMobil's gas, crude and products trading activities. In this role, you will be responsible… more
- BP Americas, Inc. (Chicago, IL)
- …mentality to optimize decisions that improve profitability or lower costs. The Trading Operator must deliver safety and compliance requirements, meet product ... assurance, Mentoring, Negotiating, Shipping/transport, Supply chain management, Trade discipline and compliance , Trading and scheduling operations, Trading … more
- Neuberger Berman (New York, NY)
- …+ Knowledge of investment management processes, including portfolio construction, trading workflows, and compliance requirements. + Familiarity with ... the evolving needs of our clients. **The Role** The Trading Systems Product Manager for the Private Wealth Platform...the strategic vision, enhancements, and operational efficiency of the trading platform (eg, Charles River), ensuring it meets the… more
- Scotiabank (New York, NY)
- …in day-to-day activities and decisions. + Manage trading inventories and generate trading revenues in compliance with limits and the bank's risk profile. + ... Director, US Investment Grade Credit Trading **Requisition ID:** 214419 **Salary Range:** 300,000.00 -...business controls to meet obligations with respect to operational, compliance , AML/ATF/sanctions and conduct risk. + Champions a high… 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
- Charles Schwab (Westlake, TX)
- …or experience with an industry regulator. + In-depth knowledge of securities trading regulations and relevant compliance issues. + Highly specialized background ... together. We are recruiting strong candidates to join our Trading , Markets and Operations legal group. As a member...you will report to the Managing Director, Legal - Trading group. This position will focus on providing comprehensive… more
- Southern California Edison (Rosemead, CA)
- …physical and financial transactions, as well as the procurement of emissions related compliance products. As a **Senior Manager, Energy Trading ** your work will ... energy, new energy storage resources, and conventional energy. **Responsibilities** + Oversees trading strategies that are in compliance with the company's risk… more
- T. Rowe Price (Owings Mills, MD)
- …for critical firm functions related to the beneficial ownership monitoring for trading compliance support and global regulatory reporting. The LCFO team ... with Trading /IBOR/OMS systems, specifically with knowledge of Charles River Compliance System (CRD) or comparable compliance platform + Practical… more
- Bloomberg (New York, NY)
- …configuration, training, testing and support across position management, order management, trading , research management, compliance , and operations. The ideal ... of workflows across portfolio management, research management, order management, trading , compliance and operations for institutional investment managers… more
- T. Rowe Price (Owings Mills, MD)
- …America Compliance on matters impacting Global Investments and Global Trading . The successful candidate will have strong time management and organizational ... Role Summary This position is within the North America Compliance team reporting to the Senior Manager, Regulatory Advisory... team reporting to the Senior Manager, Regulatory Advisory Compliance - Control Room. This position will work as… 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
- Robert Half Finance & Accounting (Chicago, IL)
- …+ Data Collection and Analysis: Gather trade data from internal systems, analyze trading activity to identify potential compliance concerns related to market ... FOCUS, and other required filings based on specific regulatory guidelines. + Compliance Monitoring: Monitor trading activity for potential violations of… more
- NatWest Markets (Stamford, CT)
- …reporting to the Compliance Advisory Lead will serve as a Sales and Trading Compliance Advisory and Conduct Risk Officer for the Legal and Compliance ... + Assist in the development, administration and delivery of compliance training for sales and trading . + Research any new laws, rules or regulations and… more
- Vanguard (Scottsdale, AZ)
- …a team (of six analysts) performing day-to-day supervision of employee personal trading compliance , monitoring and maintenance of employee accounts, employee ... to team regarding COEC processes and procedures to ensure regulatory compliance and protect shareholder assets. Sets performance standards, reviews performance, and… more
- Aston Carter (Chicago, IL)
- …based on specific regulatory guidelines. + Collaborate with departments like accounting, trading , compliance , operations, and legal to gather information and ... officers when necessary. + Collect trade data from internal systems and analyze trading activities to identify potential compliance concerns related to market… more
Related Job Searches:
Commodity Trading Compliance Manager,
Compliance,
Compliance Officer Trading,
Director Electronic Trading Compliance,
Equity Sales Trading Compliance,
Trading,
Trading Compliance Analyst,
Trading Compliance Manager,
Trading Compliance Surveillance