Trade Compliance Officer

Position can sit in NYC or Stamford, CT.30B+ SEC RIA seeks a Senior Compliance Officer to join their growing team! Position will report directly to the DCCO and CCO, and also oversee 2 junior team members.In office schedule is 3 per week.Pre- and post-trade monitoring portfolio compliance of separate accounts, commingled funds, mutual funds, and UCITS.•...

Investment Compliance Officer (New York, NY): Our client, a hedge fund with over $3B in AUM is seeking an experienced Investment Compliance Officer to join their team a newly created position to lead surveillance initiatives within their growing New York office. The ideal candidate will have a strong background in investment compliance and direct experience...

Required Skills and QualificationsBachelor's degree in International Business, Trade, or a related field. Master's degree or certification in trade compliance is preferred.Minimum of 5 years of experience as a Trade Specialist or in a similar role, with a strong background in international trade and customs compliance.Profound knowledge of international...

At Tcwglobal, we are seeking a highly motivated and experienced Global Trade Compliance Professional to join our trade compliance team. As a key member of our team, you will be responsible for ensuring that our clients' goods comply with all applicable international trade regulations.Your primary focus will be on developing and implementing trade compliance...

Leading Trading Firm is looking to hire a Compliance Officer 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 knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940 is...

Group Overview The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior...

Group Overview The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior...

Job OverviewAs a Global Trade Compliance Specialist at Sumitomo Mitsui Banking Corporation (SMBC), you will be responsible for ensuring compliance with regulatory requirements for GTFD related transactions. This role involves working closely with the Transaction Management group and collaborating with various officers to ensure seamless trade operations.Key...

Key ResponsibilitiesAs a Trade Compliance Expert at Laufer Group International, you will play a critical role in ensuring the smooth importation of goods into the US. You will be responsible for managing customs entries for Laufer routed clients, accurately and timely filing import security filings, and corresponding with clients regarding ISF documents,...

SummaryIn a dynamic and international environment, you will be responsible for control and support functions of operations initiated by the New York Credit Front Office deriving from post trade execution, books and recordkeeping and trade processing of Fixed Income Market transactions. Your role will be to facilitate trade settlement to ensure all operations...

SummaryIn a dynamic and international environment, you will be responsible for control and support functions of operations initiated by the New York Credit Front Office deriving from post trade execution, books and recordkeeping and trade processing of Fixed Income Market transactions. Your role will be to facilitate trade settlement to ensure all operations...

**Job Title:** Senior Customs and Trade Compliance Specialist**Company Overview:**Sol de Janeiro is an award-winning global lifestyle beauty brand inspired by the beauty rituals and attitude of the beaches of Rio. We are committed to creating an inclusive environment where every person can enjoy a successful career.**Salary:** $90,000 - $120,000 per year,...

Company Overview: PIMCO is a leading global investment management firm with expertise in active fixed income. Our team of experts navigates complex debt markets to deliver strong risk-adjusted returns for clients.PIMCO seeks a Senior Compliance Officer to join its global compliance team, focusing on the US Registered Funds 38a-1 compliance program. This...

EXPERIENCED COMPLIANCE ANALYST New York, NY5 Days onsite in Downtown ManhattanThe RoleOur client, a NYC-based trading firm is looking for a Compliance Analyst to join their legal and compliance team. The team is generally responsible for establishing, implementing and maintaining adequate policies and procedures to ensure compliance of the firm with its...

EXPERIENCED COMPLIANCE PROFESSIONALNew York, NY5 Days onsite in Downtown ManhattanThe RoleEast End Resources seeks a seasoned Compliance Analyst to join their legal and compliance team.The primary responsibilities of the team include establishing, implementing, and maintaining policies and procedures to ensure compliance with regulatory obligations.Tasks...

DriveWealth - A Global Financial Technology OrganizationWe are seeking an experienced Chief Compliance Officer to join our team at DriveWealth, a global financial technology organization dedicated to democratizing access to financial independence. Our mission is to empower partners to offer seamless investing and trading experiences to clients worldwide...

Job TitleVice President, Capital Markets Compliance OfficerCompany OverviewWedbush Securities is a leading securities firm and investment bank in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. With over 100 offices and more than 80 correspondent...

Job Title: Fintech Trade SpecialistAbout the Role:We are seeking a highly skilled Fintech Trade Specialist to support our Equities trading floor. The ideal candidate will have a strong background in trading software, FIX protocol, and OMS systems.Key Responsibilities:• Troubleshoot real-time trading issues and investigate compliance inquiries• Monitor...

About the RoleWe are seeking an experienced Senior Compliance Officer to join our team at Wedbush Securities. In this role, you will oversee controls designed to mitigate conflicts of interest, protect confidential information, and preserve the integrity of our firm's information barriers.This is a hybrid role that can be based in Los Angeles or New York...

**About the Role:**Senior Compliance Officer for Equities and Broker-Dealer OperationsAJ Consultancy is seeking an experienced Senior Compliance Officer to join our team as a Compliance Director for a Self-Clearing Broker-Dealer. The ideal candidate will have a strong background in equity trading compliance and a minimum of 5 years of experience working in a...