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93 senior trade compliance officer jobs

Insider Trading Compliance Senior Officer

The Compliance Search Group San Francisco, CA

• Ensure adequate compliance policies and procedures are developed and implemented • Maintain current knowledge of laws and regulations and keep… TheLadders.com

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Senior Compliance Officer - Treasury and Trade Services - Finance and Investment Industry Opportunity

Citigroup 100+ Reviews Jersey City, NJ

TTS NAM Compliance seeks a compliance professional with AML and US Sanctions regulatory background, ideally in an institutional banking capacity, to… VelvetJobs.com

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Senior Compliance Officer - Treasury and Trade Services

Citibank 100+ Reviews Jersey City, NJ

The successful candidate will help provide compliance oversight for this portfolio, including responsibility for reviewing transaction escalations… Citibank

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Senior Compliance Officer Treasury and Trade Services

Citi 100+ Reviews Jersey City, NJ

TTS NAM Compliance seeks a compliance professional with AML and US Sanctions regulatory background, ideally in an institutional banking capacity, to… Citi

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Senior Compliance Officer - Treasury and Trade Services

CitiGroup 100+ Reviews Jersey City, NJ

TTS NAM Compliance seeks a seasoned compliance professional with a strong US regulatory background, ideally in an institutional banking capacity, to… CitiGroup

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Alternative Investments Compliance Officer

Credit Suisse 100+ Reviews Raleigh, NC

"Assist with advisory coverage of various AM business units Provide back-up to senior compliance advisory coverage officer overseeing other business… Credit Suisse

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SENIOR COMPLIANCE OFFICER - ASSET MANAGEMENT

DM Stone JobsInBrokerage.com Orinda, CA

Assist with forensic testing, annual assessment and ongoing regulatory requirements. Special projects for global compliance program… Net-Temps

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Compliance Officer (AD) – new

UBS Financial Services Nashville, TN

* Analyze exception-based monitoring reports for potential sales practice issues and to ensure compliance with regulatory and Firm policies and procedur… Beyond.com

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Global Trade Compliance Officer

FLIR Systems 49 Reviews Nashua, NH

* Responsible for assuring successful facilitation and coordination of all required documentation during the acquisition of required licenses in… Beyond.com

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Compliance Officer - Finance and Investment Industry Opportunity

UBS 100+ Reviews Nashville, TN

An element of the role includes interaction with senior UBS management from each business division and from Legal and Compliance. Specific… VelvetJobs.com

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Associate Compliance Officer, Global Financial Crimes

American International Group 100+ Reviews New York, NY

* Serve as a company-wide resource to provide guidance to business units and corporate functions, and serve as an escalation point regarding the… Beyond.com

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Senior Compliance Counsel - Investment Management

William Blair 43 Reviews Chicago, IL

* Assist the Chief Compliance Officer with oversight of William Blair Investment Management and the structuring and ongoing design, implementation… Beyond.com

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Trade Compliance Officer

Meggitt PLC 34 Reviews Corona, CA

* Provides advanced expertise for Trade Compliance export and import activities * Acts as a lead in the classification of products for export… Beyond.com

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Senior Compliance Officer - Finance and Investment Industry Opportunity

Bank in New York City 17 Reviews New York, NY

* Review of the swap dealer and FCM policies and procedures and test them for effectiveness, including analysis of resources set aside for compliance… VelvetJobs.com

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Manager, Equities Compliance - Finance and Investment Industry Opportunity

UBS 100+ Reviews New York, NY

The candidate must have expertise in U.S. trading regulations and market structure issues(particularly issues related to electronic trading… VelvetJobs.com

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