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24 market monitoring compliance and investigation analyst jobs

Sr. Analyst - Market Surveillance

LPL Financial 100+ Reviews Charlotte, NC

• Conduct reviews around the personal trading of associated and restricted persons, front running, insider trading (including in client accounts… LPL Financial

  • Overview
  • Reviews
  • Salaries

Compliance Analyst, Individual Markets

Prime Therapeutics 97 Reviews Bloomington, MN

• Investigates and resolves operational compliance problems, questions, or complaints received from clients, government regulatory agencies, or… Prime Therapeutics

  • Overview
  • Reviews
  • Salaries

Investigator, Market Regulation

United States

Winner. Opportunities (As of December 16, 2014) Associate Director, OTC Derivatives Monitoring Manager, OTC Derivatives… Glassdoor

AVP - Market Surveillance

LPL Financial 100+ Reviews Charlotte, NC

• Maintain and enhance the firm’s surveillance program around the personal trading of associated and restricted… LPL Financial

  • Overview
  • Reviews
  • Salaries

Associate Director, OTC Derivatives Monitoring

United States

Winner. Opportunities (As of December 16, 2014) Associate Director, OTC Derivatives Monitoring Manager, OTC Derivatives… Glassdoor

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Compliance AML Analyst - Finance and Investment Industry Opportunity

Large Bank New York, NY

· Daily surveillance of brokerage accounts for anomalous, high risk activity for Anti-Money Laundering (AML) team · Performing in-depth… VelvetJobs.com

  • Web Search

Sales Engineer

Avigilon 15 Reviews California

In 2013, Avigilon was the fastest growing company in Canada on the PROFIT 500. The company was also named Cantech's Stock of the Year (TSX), as voted… Beyond.com

  • Overview
  • Reviews

Senior Director Laboratory Services

Endo Huntsville, AL

Define, develop and deploy key quality systems for the operations of the laboratory. Implement a mechanism for the monitoring of the performance of… Ivy Exec

  • Overview

Compliance Intern

United States

Winner. Opportunities (As of December 16, 2014) Associate Director, OTC Derivatives Monitoring Manager, OTC Derivatives… Glassdoor

AML KYC Analyst - Finance and Investment Industry Opportunity

Large Bank New York, NY

· Daily surveillance of brokerage accounts for anomalous, high risk activity for Anti-Money Laundering (AML) team · Performing in-depth… VelvetJobs.com

  • Web Search

Manager, OTC Derivatives Monitoring

United States

Winner. Opportunities (As of December 16, 2014) Associate Director, OTC Derivatives Monitoring Manager, OTC Derivatives… Glassdoor

Senior Systems Analyst I, Market Regulation

United States

Winner. Opportunities (As of December 16, 2014) Associate Director, OTC Derivatives Monitoring Manager, OTC Derivatives… Glassdoor

Compliance ExaminerDocumentation Compliance, OTC Derivatives

United States

Winner. Opportunities (As of December 16, 2014) Associate Director, OTC Derivatives Monitoring Manager, OTC Derivatives… Glassdoor

Manager, OTC Derivatives

United States

Winner. Opportunities (As of December 16, 2014) Associate Director, OTC Derivatives Monitoring Manager, OTC Derivatives… Glassdoor

Compliance Examiner

United States

Winner. Opportunities (As of December 16, 2014) Associate Director, OTC Derivatives Monitoring Manager, OTC Derivatives… Glassdoor

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