Senior Trade Compliance Officer Jobs | Glassdoor

Senior Trade Compliance Officer Jobs

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  • 3.6
    JPMorgan Chase & Co. – New York, NY
    Est. Salary $66k-$109k
    1 days ago 22hr
    of the investigations team within the trade surveillance group in JPMorgan's compliance department. The group is primarily responsible… regulatory or broker-dealer experience such as a role in compliance, trade surveillance, or securities regulation strongly preferred…
  • 3.9
    Park Place Technologies – Marlborough, MA
    Est. Salary $51k-$84k
    4 days ago 4d
    region. Certifications or Licenses Certified US Export Compliance Officer strongly preferred. Special Knowledge, Skills & Abilities… DUTIES AND RESPONSIBILITIES: Provide oversight for trade compliance matters across Park Place Technologies based on local and international…
  • 2.3
    The Options Clearing Corporation – Chicago, IL
    Est. Salary $73k-$130k
    1 days ago 22hr
    developing presentations to senior management. * Assist with the development and maintenance of the Compliance Department's internal… Frank Act, Securities & Exchange Commission, Commodity Futures Trading Commission, Federal Reserve Board, and International Organization…
  • 2.9
    Castleton Commodities International LLC – Houston, TX
    Est. Salary $60k-$119k
    1 days ago 16hr
    is hiring a Compliance Officer in Houston, TX. This is an excellent opportunity to further your career in Compliance at a best in… . FERC/NERC/ISOs). Will also consider more senior individuals with relevant trading regulatory experience (e.g. Exchanges/CFTC)…
  • 3.0
    Smith & Wesson Holding – Springfield, MA
    Est. Salary $86k-$137k
    13 days ago 13d
    experience, with responsibility for trade compliance, in a senior manager or director-level compliance position, in a highly regulated… improve the Company's Trade Compliance Program, as well as for supporting the Company's day-to-day trade compliance needs. This position…
  • 1.5
    Wyman-Gordon – Tulsa, OK
    Est. Salary $83k-$133k
    4 days ago 4d
    licenses. The Sr. Trade Compliance Manager will also work closely with PCC’s Chief Compliance Officer and PCC’s Compliance Counsel regarding… China. Position Summary: The Senior Trade Compliance Manager will manage import/export compliance as dictated by the US Department…
  • 3.3
    Scotiabank – New York, NY
    Est. Salary $67k-$124k
    24 days ago 24d
    appropriate sales & trading personnel. Escalate any material matters to Senior Compliance Officers and Senior Management. 4. Assist… Chief Compliance Officer detailing the results of that testing. 6. Assist relevant business units/desks and Compliance team with…
  • 2.8
    Precision Castparts – Tulsa, OK
    Est. Salary $65k-$107k
    18 days ago 18d
    licenses. The Sr. Trade Compliance Manager will also work closely with PCC’s Chief Compliance Officer and PCC’s Compliance Counsel regarding… . Position Summary: The Senior Trade Compliance Manager will manage import/export compliance as dictated by the US Department…
  • Thales Defense & Security, Inc. – Clarksburg, MD
    17 days ago 17d
    Serve as Technology Control Officer under Proxy Agreement Review, augment, and draft trade compliance policies and procedures as… Maryland, Thales Defense & Security, Inc. seeks a Senior Manager of Trade Compliance. Thales Defense & Security, Inc. is a global…
  • 3.1
    Flowserve Corporation – Irving, TX
    Est. Salary $79k-$129k
    2 days ago 2d
    Provide focused global trade compliance updates to senior leadership, as needed. ? Secure senior executive support and oversee… global trade compliance program enhancements to sustain and improve the effectiveness of the Company?s global trade compliance program…
  • 3.5
    Credit Suisse – New York, NY
    Est. Salary $77k-$138k
    13 days ago 13d
    guidance on Global / Regional / Local compliance policy in relation to employee conduct / trading. Employee will assist in directing… Division, primarily responsible for the Firm’s Equity Electronic Trading and Portfolio Sales desks. Responsibilities include...…
  • 3.4
    Thales – Clarksburg, MD
    Est. Salary $97k-$156k
    21 days ago 21d
    Serve as Technology Control Officer under Proxy Agreement Review, augment, and draft trade compliance policies and procedures as… Maryland, Thales Defense & Security, Inc. seeks a Senior Manager of Trade Compliance. Thales Defense & Security, Inc. is a global…
  • 3.8
    HARDING LOEVNER LP – Bridgewater, NJ
    Est. Salary $47k-$89k
    4 days ago 4d
    , the Compliance Officer will interact regularly with senior management. The ideal candidate will have strong problem-solving… The Compliance Officer is expected to operate independently, under the supervision of the Chief Compliance Officer and the…
  • 3.0
    CITIZENS BANK – Canton, MA
    Est. Salary $76k-$122k
    27 days ago 27d
    Description The Senior Compliance Manager will manage the broker-dealers surveillance and anti-money laundering compliance activities… activities reporting to the Chief Compliance Officer. The position will serve as the Firm's Financial Industry Regulatory Authority (FINRA…
  • 2.9
    New York Racing Association – Ozone Park, NY
    Est. Salary $125k-$232k
    10 days ago 10d
    The Chief Corporate Compliance Officer oversees The New York Racing Association, Inc’s. Corporate Compliance Program for corporate… including NYRA’s Code of Ethics). The Chief Corporate Compliance Officer is a member of the law department and reports to the SVP…
  • 4.0
    Wellington Management Company, LLP – Boston, MA
    Est. Salary $73k-$130k
    2 days ago 2d
    POSITION The Compliance Officer will support Wellington Management's Compliance program with respect to equity trading, portfolio… Markets Compliance Manager and other compliance professionals and attorneys. RESPONSIBILITIES The Compliance Officer's responsibilities…
  • 3.5
    Credit Suisse – New York, NY
    Est. Salary $77k-$138k
    13 days ago 13d
    guidance on Global / Regional / Local compliance policy in relation to employee conduct / trading. Employee will assist in directing… implementing new or updated changes with respect to equities trade reporting (TRF), OATS, and Blue Sheets. This individual…
  • 4.0
    National Life Group – Montpelier, VT
    Est. Salary $98k-$146k
    17 days ago 17d
    Management, Audit and Compliance functions. This role reports directly to the Chief Information Officer (CIO) and will have… Chief Information Security Officer Location: VT – Montpelier or TX - Dallas At National Life Group…
  • 3.0
    BNY Mellon – New York, NY
    Est. Salary $48k-$91k
    Today 9hr
    and Compliance provide risk and compliance services across all BNY Mellon businesses. Organizationally, Risk and Compliance includes… as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments…
  • 3.2
    Edelman Financial Services – Fairfax, VA
    Est. Salary $121k-$213k
    24 days ago 24d
    seeking an experiencedChief Compliance Officer (CCO) for our HQ in Fairfax, VA. The Chief Compliance Officer is responsible for the… services to its clients. The Chief Compliance Officer will be responsible for compliance analysis, programs, initiatives, guidelines…
  • 3.3
    Deutsche Bank – New York, NY
    Est. Salary $91k-$156k
    27 days ago 27d
    the trust of our clients. Electronic Trading Compliance Officer Title: Assistant Vice President The Candidate… for electronic trading. Assist in the preparation of Compliance reports for Compliance Management, Senior Management, Executive…
  • 3.3
    Citibank – Fort Lauderdale, FL
    Est. Salary $104k-$180k
    11 days ago 11d
    and regulatory environment relevant to AML compliance and TTS Business compliance and ICG BusinessQualificationsKnowledge/experience… regulatory compliance related to anti-money laundering, BSA and or financial crimes risk management or compliance; -Knowledge…
  • 3.6
    Nomura Holdings – New York, NY
    5 days ago 5d
    monthly Compliance MI for Senior Management within EMEA on reviews completed and issues identified by the Compliance Review Team… equivalent) · Experience of compliance or related review work in an Investment Banking/Trading environment. · Good working…
  • 3.5
    Citi – Fort Lauderdale, FL
    Est. Salary $78k-$138k
    11 days ago 11d
    and regulatory environment relevant to AML compliance and TTS Business compliance and ICG BusinessQualificationsKnowledge/experience… regulatory compliance related to anti-money laundering, BSA and or financial crimes risk management or compliance; -Knowledge…
  • 3.2
    Fulton Financial Corporation – Virginia Beach, VA
    Today 10hr
    opportunities to meet with developers. Participates in building and trade shows. Participates in mixers related to real estate where relationships… accordance with regulatory compliance. Ensures documentation is completed in accordance with regulatory compliance. Communicates with…
  • 5.0
    Vatic Labs – New York, NY
    Est. Salary $53k-$102k
    17 days ago 17d
    automated trading space. With the continued growth and evolution of our firm, we are seeking a Compliance Officer to help us… understanding of Electronic/Quantitative/High Frequency Trading Experience in a compliance function for CFTC, NFA, and SEC regulated entities…
  • 3.4
    BMO Financial Group – Naperville, IL
    Est. Salary $58k-$105k
    6 days ago 6d
    to the senior manager\. + Liaise with internal and external groups as they audit and assess business unit compliance with regulatory… Corporate Compliance, Shareholder Auditors, regulatory reports and governance frameworks\), and produce timely reports for senior management…
  • 3.1
    Danaher Corporation – Loveland, CO
    Est. Salary $98k-$182k
    6 days ago 6d
    Provide oversight of WQ?s trade compliance programs* o Directly and indirectly supervise trade compliance professionals and operations… associates in N. America with trade compliance responsibilities to help ensure our businesses? compliance with applicable important…
  • 3.3
    Deutsche Bank – New York, NY
    Est. Salary $91k-$156k
    7 days ago 7d
    Infrastructure Compliance Officer Corporate Title: Vice President Location: 60 Wall Street The Infrastructure Compliance Officer… assessments of applicable regulations. The Officer must be able to interact effectively with senior members of the firm’s management. Strong…
  • L3 Technologies – Torrance, CA
    Est. Salary $57k-$94k
    2 days ago 2d
    customers. We currently have an opening for a Senior Trade Compliance Specialist who will initially work at our San Carlos… - Electron Technologies-21000006* **Title:** *Sr. Trade Compliance Specialist [17-096]* **Location:** *California-Torrance…
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