SEF Compliance Surveillance Lead and Advisory Compliance Officer
3 weeks ago
Legal & Compliance. New York, NY - Posted Apr 25, 2024 - Requisition No. 124842 The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy Compliance, Compliance Officer, Lead, Surveillance, Advisor, Officer, Business Services
-
Swap Compliance Lead
2 days ago
New York, United States Larson Maddox Full timeOur client is looking for an experienced Compliance Officer to join their Swap Execution Compliance team. In this role, you will support the Swap Execution Chief Compliance Officer (CCO) in maintaining adherence to the CEA, CFTC regulations, and pertinent international regulations. K ey Duties and Responsibilities: Perform trade surveillance and real-time...
-
Swap Compliance Lead
21 hours ago
New York, United States Larson Maddox Full timeOur client is looking for an experienced Compliance Officer to join their Swap Execution Compliance team. In this role, you will support the Swap Execution Chief Compliance Officer (CCO) in maintaining adherence to the CEA, CFTC regulations, and pertinent international regulations. K ey Duties and Responsibilities: Perform trade surveillance and real-time...
-
Swap Compliance Lead
4 days ago
New York, United States Larson Maddox Full timeOur client is looking for an experienced Compliance Officer to join their Swap Execution Compliance team. In this role, you will support the Swap Execution Chief Compliance Officer (CCO) in maintaining adherence to the CEA, CFTC regulations, and pertinent international regulations. Key Duties and Responsibilities:Perform trade surveillance and real-time...
-
Swap Dealer Compliance Associate
2 weeks ago
New York, United States Phaxis Full timeCurrently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations.Responsibilities:Lead compliance efforts for all...
-
Swap Dealer Compliance Associate
1 week ago
New York, United States Phaxis Full timeCurrently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations.Responsibilities:Lead compliance efforts for all...
-
Swap Dealer Compliance Associate
1 month ago
New York, United States Phaxis Full timeCurrently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations.Responsibilities:Lead compliance efforts for all...
-
Swap Dealer Compliance Associate
3 weeks ago
New York, United States Phaxis Full timeCurrently partnered with an established growing broker dealer that is seeking a strong Swap Dealer Compliance Associate to join their team in NYC. The ideal candidate will have a strong compliance background from a Broker-Dealer and a deep understanding of NFA, CFTC, and Dodd Frank Title VII SEF regulations. Responsibilities: Lead compliance efforts for...
-
Compliance Officer
4 days ago
New York, United States Leumiusa Full time**Compliance Officer (Advisory & Broker Dealer)** at Leumi USA New York, NY USA * Key participant in and contributor to the execution of LISI (Leumi Investment Services Inc) Compliance Program, ensuring alignment with the Firms compliance and strategic direction and recommend policy and/or action based on internal and external industry developments for area...
-
Compliance Consultancy Director
4 weeks ago
New York, New York, United States Compliance Recruitment Solutions Full timeCompliance Consultancy Director - Previous Compliance Funds Experience and 1940 Act/NFA/CFTC Knowledge Required Ref: 4015G3 $200K - $220K + Bonus + Benefits New York City Our Client, a growing and dynamic regulatory consulting firm based in New York and London, are looking to hire an experienced compliance professional to join their New York Regulatory...
-
Compliance Officer, Trading Compliance
3 weeks ago
New York, United States Balyasny Asset Management L.P. Full timeLoadingSorry to interruptCSS Error Compliance Officer, Trading Compliance LocationNew York PostedPosted 52 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....
-
Senior Trading Compliance Officer
1 month ago
New York, United States Capstone Investment Advisors Full timeRESPONSIBILITIES: The Senior Compliance Officer will lead the day-to-day management of Capstone’s Global trade compliance practice area and will provide real-time advisory support to Capstone’s trading staff. The ideal candidate is an intellectually curious, dynamic individual who wants to develop skills in a fast-paced environment, has the ability...
-
Compliance Associate
1 day ago
New York, United States Millennium Management Full timeCompliance Associate - OTC Surveillance The Compliance Department at Millennium serves to adopt, implement, and carry out 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...
-
Director - Equities Compliance Advisory
4 days ago
New York, United States JCW Full timeA leading multinational investment bank is looking to hire a Director - Equities Compliance Advisory. Ideal candidates will have extensive experience with equity sales/trading compliance advisory. Day-to-day you will:Advise on equity trading regulatory requirements and firm policies and procedures.Maintain and oversee equity trading activities.Draft/update...
-
Director - Equities Compliance Advisory
5 days ago
New York, United States JCW Full timeA leading multinational investment bank is looking to hire a Director - Equities Compliance Advisory. Ideal candidates will have extensive experience with equity sales/trading compliance advisory. Day-to-day you will:Advise on equity trading regulatory requirements and firm policies and procedures.Maintain and oversee equity trading activities.Draft/update...
-
New York, United States Crédit Agricole CIB Full timeJob description **Business type**: - Types of Jobs - Compliance / Financial Security **Job title**: - AML / OFAC Compliance Officer / Advisory (Financial Security) **Contract type**: - Permanent Contract **Job summary**: - Summary: This position is placed within the Advisory group of the Financial Security team. The position's main responsibilities...
-
Compliance Officer
3 days ago
New York, New York, United States S&P Global Full timeAbout the Role:Grade Level (for internal use):12The Role: Compliance OfficerThe Compliance Officer role is based in Englewood or New York and the successful candidate will be responsible for supporting the implementation and monitoring of the Compliance Program primarily for S&P Global Ratings in North America. The role involves a range of activities,...
-
AML/OFAC Compliance Advisory Consultant
4 days ago
New York, United States Michael Page Full timeThe AML/OFAC Compliance Advisory Consultant will be responsible to review and issue regulatory guidance to Bank staff on proposed activities and transactions. Client Details Our client is a leading French multinational banking and financial services company with a global presence in New York, NY. They are looking to hire an AML/OFAC Compliance Advisory...
-
Buyside Compliance
1 month ago
New York, United States Rockwood Search Associates Full timeJob 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...
-
AML/OFAC Compliance Advisory Consultant
4 days ago
New York, New York, United States Michael Page Full timeAbout Our Client Our client is a leading French multinational banking and financial services company with a global presence in New York, NY. They are looking to hire an AML/OFAC Compliance Advisory Consultant for a 6 month project. Job Description The AML/OFAC Compliance Advisory Consultant will be responsible for the following: Evaluate KYC files to ensure...
-
Senior Compliance Officer
4 days ago
New York, United States Cardea Group Full timeDeputy Chief Compliance Officer (New York, NY): Our client, a hybrid fund with over $7 billion in AUM and several international offices, is looking to hire a Deputy Chief Compliance Officer to join their Global Compliance team based in New York. This position will report directly to the firm’s Global CCO focusing on the general management, implementation...