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107  Senior Trade Compliance Officer Jobs

Senior Trading Compliance Officer

lang search partners New York, NY

This individual will act as the Senior Trading Compliance Officer for a global,… TheLadders.com

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Senior Software Engineer - Bloomberg Vault User Experience

Bloomberg L.P. 100+ Reviews New York, NY

The system provides the tools for real-time compliance checking, policy management, supervision, ingestion, indexing, searching and reporting. These… Bloomberg L.P.

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Senior Software Engineer - Bloomberg Vault Infrastructure

Bloomberg L.P. 100+ Reviews New York, NY

The system provides the tools for real-time compliance checking, policy management, supervision, ingestion, indexing, searching and reporting. These… Bloomberg L.P.

  • Overview
  • Reviews
  • Salaries

Compliance Manager 3 - Portfolio Monitoring and Specialized Trading

Wells Fargo 100+ Reviews Menomonee Falls, WI

• Manage the Portfolio Compliance team • Work with Portfolio Management, Client Services, and client administration to manage the design… CareerBuilder

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Senior Internal Auditor

Stock Yards Bank & Trust 5 Reviews Louisville, KY

As an Internal Audit Officer, your day will be filled with opportunities to plans and execute various financial, compliance, and operational audits… CareerBuilder

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Senior Compliance Officer Surveillance

Citi 100+ Reviews Jersey City, NJ

Retail Surveillance provides compliance coverage for the Citi Private Bank and Citi Wealth Management business lines, including the international… TheLadders.com

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Compliance Officer Platform Execution & Supervision

Green Key Resources 17 Reviews New York, NY

• Conduct ongoing monitoring and supervision of company platforms to ensure they meet global… CareerBuilder

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CCOISC Reg Admin Officer I

RBS Citizens Financial Group, Inc Plymouth Meeting, PA

of reviewing investigating and approving trade corrections, sales blotters and sales adjustments. Book, track and monitor adjustments. Manage client… CareerBuilder

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Senior Compliance Officer ICG AML Advisory TTS (Treasury Trade)

Citi 100+ Reviews Jersey City, NJ

• Support the MCA process as well as all Internal Audit & Compliance Testing reviews of TTS lines of business • Assist business in managing… Citi

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Senior Compliance Officer

Leading Financial Services Firm New York, NY

Development and delivery of training programs. Requirements For the Senior Compliance Officer role, the employer seeks the following skills and… Ivy Exec

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Senior Compliance Officer Equities (Multi Asset Group)

Citi 100+ Reviews New York, NY

associated with the position: • Providing guidance on rules and regulations related to trading, sales practices, and operational issues,… Citi

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Senior Compliance Officer

Legal Professional Services Houston, TX

A leading global Asset Manager is looking to fill a Senior Compliance Officer role in their Houston office and within their Investments group. The… Ivy Exec

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Compliance Senior Associate

New York Life 100+ Reviews Richmond, VA

and coordination; • Coordinate with the firm’s outside service providers to ensure timely and proper filing of various regulatory requirements and… Ivy Exec

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Securities Compliance Officer Equities Trading Compliance Associate – new

The Compliance Search Group, LLC New York, NY

• Research and respond to regulatory inquiries and exchange requests • Point person for equities and options trading desks on regulatory matters… partner.efinancialcareers.com

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Senior Compliance Officer ICG AML Advisory Markets Monitoring Operations

Citi 100+ Reviews Jersey City, NJ

include: • Helping to drive execution of initiatives related to AML monitoring for the Markets and Securities business • Working… Citi

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Senior Compliance Officer Surveillance

Citi Jersey City, NJ

Retail Surveillance provides compliance coverage for the Citi Private Bank and Citi Wealth Management business lines, including the international… Citi

  • Overview
  • Reviews
  • Salaries
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