Trade Surveillance Compliance Analyst

COMPLIANCE ANALYSTNew York, NYOur client, a NYC-based trading firm is looking for a Compliance Analyst.The team is charged with establishing, implementing and maintaining adequate policies and procedures to ensure compliance of the firm with its legal and regulatory obligations.In this position, tasks will primarily include surveillance and monitoring of...

Position Overview:As a Senior Trade Surveillance Compliance Officer, you will play a crucial role in ensuring that our firm adheres to regulatory requirements and internal policies related to trade surveillance. You will be responsible for monitoring trading activities, detecting potential violations, and implementing measures to mitigate risks. This...

Position Overview:As a Senior Trade Surveillance Compliance Officer, you will play a crucial role in ensuring that our firm adheres to regulatory requirements and internal policies related to trade surveillance. You will be responsible for monitoring trading activities, detecting potential violations, and implementing measures to mitigate risks. This...

Position Overview:As a Senior Trade Surveillance Compliance Officer, you will play a crucial role in ensuring that our firm adheres to regulatory requirements and internal policies related to trade surveillance. You will be responsible for monitoring trading activities, detecting potential violations, and implementing measures to mitigate risks. This...

Large buy side firm seeks a junior compliance associate reporting into the Deputy CCO. This is a trade surveillance role, sitting with the business responsible for supporting the investment team and other business units with respect to the firms Compliance program and/or investment-related questions. Some responsibilities include assisting in implementing...

Large buy side firm seeks a junior compliance associate reporting into the Deputy CCO. This is a trade surveillance role, sitting with the business responsible for supporting the investment team and other business units with respect to the firms Compliance program and/or investment-related questions. Some responsibilities include assisting in implementing...

Large buy side firm seeks a junior compliance associate reporting into the Deputy CCO. This is a trade surveillance role, sitting with the business responsible for supporting the investment team and other business units with respect to the firm’s Compliance program and/or investment-related questions.Some responsibilities include assisting in implementing...

Large buy side firm seeks a junior compliance associate reporting into the Deputy CCO. This is a trade surveillance role, sitting with the business responsible for supporting the investment team and other business units with respect to the firm’s Compliance program and/or investment-related questions.Some responsibilities include assisting in implementing...

Job DescriptionJob DescriptionLarge buy side firm seeks a junior compliance associate reporting into the Deputy CCO. This is a trade surveillance role, sitting with the business responsible for supporting the investment team and other business units with respect to the firm’s Compliance program and/or investment-related questions. Some responsibilities...

Lime Trading Corp., a financial services company for retail and institutional traders, is ready for the next stage of our growth. Although we are an established company with dedicated investors and long-term clients, Lime Trading is in the midst of an exciting period of expansion. We are thrilled for our rapidly increasing reach in this industry, and we are...

LoadingSorry to interruptCSS Error Compliance Officer, Trading Compliance LocationNew York PostedPosted 40 Days Ago CodeREQ5643 Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. The employee will report to a Senior Compliance Officer and will work closely with both the Compliance and Legal Departments....

LoadingSorry to interruptCSS Error Compliance Officer, Trading Compliance LocationNew York PostedPosted 43 Days Ago CodeREQ5643 Balyasny Asset Management is seeking an experienced Compliance Officer for its New York office. The employee will report to a Senior Compliance Officer and will work closely with both the Compliance and Legal Departments....

E-Communications Compliance Surveillance AnalystLegal & Compliance TeamMy client's Legal & Compliance Department safeguards the company's integrity, ensuring ethical conduct and fostering a compliance-focused culture.This Analyst role involves joining our electronic surveillance team in New York and Chicago. This team is responsible for developing and...

E-Communications Compliance Surveillance AnalystLegal & Compliance TeamMy client's Legal & Compliance Department safeguards the company's integrity, ensuring ethical conduct and fostering a compliance-focused culture.This Analyst role involves joining our electronic surveillance team in New York and Chicago. This team is responsible for developing and...

Trade Surveillance Analyst Hybrid - New York, NY3-month Contract (W2), Weekly Pay (40 hours/week)Desired Start Date: 5/13/2024Calculated Hire is in search of a Business Execution Consultant IV for our Fortune 100 Financial Services company. You will be responsible for the following components:Job Description:Consult on complex initiatives with broad impact...

Trade Surveillance Analyst Hybrid - New York, NY3-month Contract (W2), Weekly Pay (40 hours/week)Desired Start Date: 5/13/2024Calculated Hire is in search of a Business Execution Consultant IV for our Fortune 100 Financial Services company. You will be responsible for the following components:Job Description:Consult on complex initiatives with broad impact...

Compliance Analyst The Compliance Department at Millennium serves to adopt, implement, and enforce a Compliance program, including policies and procedures, processes, systems, controls, surveillance, testing and reporting, which is designed to prevent or detect violations of applicable laws, rules and regulatory requirements and Firm policies. We are seeking...

Position Title: E-Communications Surveillance AnalystDivision: Legal & ComplianceAbout the Role:The Legal & Compliance Department at our client's firm is dedicated to upholding ethical standards, safeguarding the company's reputation, and fostering a compliance-driven culture.As an Analyst, you will be part of their electronic surveillance team located in...

Position Title: E-Communications Surveillance AnalystDivision: Legal & ComplianceAbout the Role:The Legal & Compliance Department at our client's firm is dedicated to upholding ethical standards, safeguarding the company's reputation, and fostering a compliance-driven culture.As an Analyst, you will be part of their electronic surveillance team located in...

The AML Surveillance Analyst is responsible for ensuring efficient identification and monitoring of suspicious activities and transaction in the Bank and ensure timely reporting of suspicious transactions to the Anti-Money Laundering (AML) Compliance Analyst, Surveillance, Compliance Manager, Monitoring, Technology, Research, Support