Current jobs related to Trade Compliance Officer - New York - Tandym Group

  • Compliance Officer

    2 days ago

    New York, New York, United States Larson Maddox Full time

    Regulatory Support RoleLarson Maddox is seeking a Compliance Officer - Equities Trading to provide regulatory support to the equity trading desk. This role involves ensuring all trading activity is compliant with regulatory requirements.Key Responsibilities:Support the Head of Trading Compliance in ensuring all equity desk trading activity is compliant with...

  • Compliance Officer

    1 week ago

    New York, New York, United States Deutsche Bank Full time

    Job Title: Compliance OfficerDeutsche Bank is seeking a highly skilled Compliance Officer to join our Fixed Income Sales & Trading team. As a key member of our compliance team, you will be responsible for providing real-time advisory services to the Credit business, identifying regulatory trends and developments that impact business areas, and advising staff...

  • AVP, Compliance Officer

    2 days ago

    New York, New York, United States Jefferies Financial Group Full time

    Job Title: AVP, Compliance Officer - Trade Surveillance ExpertJob Summary:We are seeking an experienced Compliance Surveillance Professional to join our team as an AVP, Compliance Officer - Trade Surveillance Expert. In this role, you will be responsible for leading our trade surveillance program, ensuring compliance with regulatory requirements, and driving...

  • Compliance Officer

    2 days ago

    New York, New York, United States Deutsche Bank Full time

    Job Title: Compliance Officer - Fixed Income Sales & TradingJob Summary:We are seeking a highly skilled Compliance Officer to join our Fixed Income Sales & Trading team. The successful candidate will provide real-time support to the Credit business, advising on regulatory trends and developments that impact business areas.Key Responsibilities:Provide...

  • Trade Compliance Manager

    1 month ago

    New York, New York, United States MRINetwork Jobs Full time

    Job Title: Trade Compliance ManagerAre you a seasoned trade compliance professional looking for a new challenge? We have an exciting opportunity for a Trade Compliance Manager to join our team in the Americas region.About the Role:We are seeking a highly skilled and experienced Trade Compliance Manager to lead and enhance trade compliance processes across...

  • Trade Compliance Manager

    1 month ago

    New York, New York, United States MRINetwork Jobs Full time

    Job Title: Trade Compliance ManagerWe are seeking a highly skilled Trade Compliance Manager to lead and enhance trade compliance processes across North American operations. As a key member of our team, you will ensure that all trade policies and procedures comply with U.S. and international regulations.Key Responsibilities:Oversee and improve trade...

  • Compliance Officer

    2 weeks ago

    New York, New York, United States Millennium Management Corp Full time

    Job Title: Compliance OfficerMillennium Management Corp is seeking a highly skilled Compliance Officer to join our team. As a key member of our Compliance department, you will play a critical role in ensuring the Firm's global Quantitative Trading Compliance program is effective and compliant with regulatory requirements.Key Responsibilities:Assist in the...

  • Trade Compliance Specialist

    1 week ago

    New York, New York, United States Russell Tobin Full time

    Portfolio Trade Compliance SpecialistOur client, a leading investment management firm, is seeking a highly skilled Portfolio Trade Compliance Specialist to join their portfolio and trading compliance team. This role is responsible for monitoring current holdings and daily trading activity, ensuring compliance with regulatory guidelines and requirements.The...

  • Investment & Trade Compliance Specialist

    2 weeks ago

    New York, New York, United States PineBridge Investments Full time

    Job Title: Investment & Trade Compliance SpecialistPineBridge Investments is seeking a highly skilled Investment & Trade Compliance Specialist to join our team. As a key member of our Global Compliance Team, you will be responsible for ensuring the compliance of our asset management business with relevant securities laws and regulations.Key...

  • Senior Trade Compliance Manager

    2 weeks ago

    New York, New York, United States Russell Investments Full time

    Job DescriptionAt Russell Investments, we are seeking a highly skilled Senior Trade Compliance Manager to join our Compliance, Risk and Internal Audit team. As a key member of our team, you will be responsible for ensuring that all trading activities within the firm comply with applicable regulatory requirements and internal policies.Key...

  • Trade Compliance Specialist

    1 month ago

    New York, New York, United States East End Resources Full time

    About East End ResourcesWe are seeking a highly skilled Compliance Analyst to join our legal and compliance team in Downtown Manhattan.The RoleAs a Compliance Analyst, you will be responsible for establishing, implementing, and maintaining adequate policies and procedures to ensure compliance with regulatory obligations.You will conduct surveillance and...

  • Compliance Officer

    1 month ago

    New York, New York, United States JCW Full time

    Compliance OfficerAt JCW, we are seeking a highly skilled Compliance Officer to join our team in New York City. This role offers a unique opportunity for compliance professionals to work closely with and learn directly from the Chief Compliance Officer.Key Responsibilities:Ensure compliance with all relevant regulations, including SEC and FINRA rules.Assist...

  • Compliance Officer

    4 weeks ago

    New York, New York, United States JCW Full time

    Compliance Officer Job DescriptionAt JCW, we are seeking a highly skilled Compliance Officer to join our team in New York City. This role offers the unique opportunity for compliance professionals to work closely with and learn directly from the Chief Compliance Officer.Key Responsibilities:Ensure compliance with all relevant regulations, including SEC and...

  • Compliance Officer

    1 month ago

    New York, New York, United States Anonymous Full time

    Compliance Officer Job DescriptionAnonymous, a top-tier hedge fund, is seeking a highly motivated and detail-oriented Compliance Officer to join their team in New York City.This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry-leading team.The ideal candidate will have:Strong...

  • Chief Compliance Officer

    4 weeks ago

    New York, New York, United States Salient Full time

    {"h1": "Chief Compliance Officer at Salient", "p": "We are seeking a highly skilled and experienced senior compliance professional to join our team as Chief Compliance Officer. As a key member of our organization, you will be responsible for ensuring that our business operations are in compliance with all relevant laws and regulations. Key...

  • Global Trade Compliance Manager

    1 week ago

    New York, New York, United States Capital One Services, LLC Full time

    Job DescriptionCapital One Services, LLC is seeking a highly skilled Global Trade Compliance Manager to join our team. As a key member of our Enterprise Services Compliance Team, you will play a critical role in building and executing a global trade compliance program.Key Responsibilities:Support the development and implementation of a robust global trade...

  • Vice President Compliance Officer

    4 weeks ago

    New York, New York, United States Glocap Full time

    Job OverviewThe Vice President Compliance Officer will serve as an advisory member to the Advanced Clearing and Prime Services (ACaPS) Division and the Fixed Income Commodities Currencies and Stock Lending (FICCS) Division, as well as the Operations Department. This includes correspondent clearing services, prime brokerage services, fixed income trading,...

  • Trade Compliance Specialist

    1 month ago

    New York, New York, United States East End Resources Inc Full time

    Compliance AnalystEast End Resources Inc is seeking a highly skilled Compliance Analyst to join their legal and compliance team.About the RoleThe Compliance Analyst will be responsible for establishing, implementing, and maintaining adequate policies and procedures to ensure compliance with regulatory obligations.Key responsibilities include surveillance and...

  • Chief Compliance Officer

    4 weeks ago

    New York, New York, United States Sumitomo Mitsui Banking Corporation Full time

    Job Title: Chief Compliance OfficerWe are seeking a highly experienced and skilled Chief Compliance Officer to join our team at Sumitomo Mitsui Banking Corporation. As a key member of our organization, you will be responsible for leading our compliance program and ensuring that our activities are conducted in accordance with applicable regulatory...

  • Compliance Officer

    2 weeks ago

    New York, New York, United States Phaxis Full time

    Compliance Officer - Investment BankingPhaxis is seeking a seasoned Compliance Officer to support our Investment Banking and Broker Dealer client in an advisory capacity. The ideal candidate will have extensive knowledge of correspondent clearing and prime services activities, as well as a strong understanding of institutional fixed income trading.Key...

Trade Compliance Officer

3 months ago

New York, United States Tandym Group Full time

A financial services firm in New York City is currently seeking an experienced professional to join their team as their new Trade Compliance Officer. In this role, the Trade Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including FINRA and SEC rules and regulations.

Responsibilities:

  • Monitor trading activities to ensure compliance with relevant regulations, laws, and policies
  • Work with traders to ensure that all trades are executed in compliance with regulatory requirements and internal policies
  • Develop and implement policies and procedures to ensure compliance with regulatory requirements
  • Provide training and guidance to internal stakeholders on regulatory requirements and internal policies
  • Conduct compliance risk assessments and audits of internal policies
  • Investigate and resolve compliance issues and escalate as necessary
  • Keep abreast of changes to regulatory requirements and make necessary updates to internal policies and procedures
  • Interface with external regulatory bodies and respond to regulatory inquiries and requests for information

Qualifications:

  • 4+ years of experience in Public Equities Trading Compliance
  • Bachelor's degree in business administration, Finance, Legal or related field
  • Series 7
  • Strong knowledge of FINRA and SEC rules and regulations related to Public Equities Trading
  • Experience using Trillium software for Trade Compliance Management
  • Experience developing and implementing Public Equities Trading Compliance policies and procedures
  • Solid analytical and problem-solving skills
  • Great interpersonal skills
  • Excellent communication skills (written and verbal)
  • Strong attention to detail
  • Highly organized

Desired Skills:

  • Series 24 or attained upon hiring