Equities Compliance Officer

Equities Compliance OfficerFinancial FirmNYC – Downtown225K base + bonus Hybrid, 3 days onsiteJob Summary:A leading interdealer broker covering equities, fixed income and commodities is seeking an Equities Compliance Officer to oversee the Equity and Equity Derivatives Trading Business. You will report into the head of equities compliance. You will draft,...

Equities Compliance OfficerFinancial FirmNYC – Downtown225K base + bonus Hybrid, 3 days onsiteJob Summary:A leading interdealer broker covering equities, fixed income and commodities is seeking an Equities Compliance Officer to oversee the Equity and Equity Derivatives Trading Business. You will report into the head of equities compliance. You will draft,...

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...

Equities Compliance OfficerFinancial FirmNYC – Downtown225K base + bonus Hybrid, 3 days onsiteJob Summary:A leading interdealer broker covering equities, fixed income and commodities is seeking an Equities Compliance Officer to oversee the Equity and Equity Derivatives Trading Business. You will report into the head of equities compliance. You will draft,...

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...

Job DescriptionWe're seeking a highly skilled Senior U.S. Equity Derivatives Compliance Officer to join our team at CIBC. As a key member of our U.S. Capital Markets Compliance team, you will be responsible for ensuring that our Equity Derivatives business operates in compliance with all relevant regulatory requirements.Key ResponsibilitiesAdminister CIBC's...

Title: : Equities Middle Office (Equity Swap)Location - New York, NYHybrid RoleDuration - 4 Months of contract opportunity Skills:1-3 years experience in equity swapsThis covers multiple markets and products including OTC equity derivatives, cash equities, and exchange traded derivatives. This role will focus on the support of the Equity Swap businessThe...

Title: : Equities Middle Office (Equity Swap)Location - New York, NYHybrid RoleDuration - 4 Months of contract opportunity Skills:1-3 years experience in equity swapsThis covers multiple markets and products including OTC equity derivatives, cash equities, and exchange traded derivatives. This role will focus on the support of the Equity Swap businessThe...

Interested in joining a growing firm at a dynamic time? Consider joining White Oak Fund Services, LLC. White Oak is a professional services firm providing outsourced CFO support, fund administration and tax compliance services to private equity firms in all stages of their life cycle. The Part-Time Private Equity Tax Accountant will be responsible for...

Interested in joining a growing firm at a dynamic time? Consider joining White Oak Fund Services, LLC. White Oak is a professional services firm providing outsourced CFO support, fund administration and tax compliance services to private equity firms in all stages of their life cycle. The Part-Time Private Equity Tax Accountant will be responsible for...

TradeZero America (“TZA”), is a broker dealer focused on the retail active trader and institutional options trading. TZA is seeking a Compliance Officer to assist its current team located in Brooklyn NY. The role requires prior experience as a compliance officer and experience should include knowledge in:CAT reporting/ Regulatory reporting15c3-5 market...

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...

Title: : Equities Middle Office (Equity Swap)Location - New York, NYHybrid RoleDuration - 4 Months of contract opportunity Skills:1-3 years experience in equity swapsThis covers multiple markets and products including OTC equity derivatives, cash equities, and exchange traded derivatives. This role will focus on the support of the Equity Swap businessThe...

Title: : Equities Middle Office (Equity Swap)Location - New York, NYHybrid RoleDuration - 4 Months of contract opportunity Skills:1-3 years experience in equity swapsThis covers multiple markets and products including OTC equity derivatives, cash equities, and exchange traded derivatives. This role will focus on the support of the Equity Swap businessThe...

Interested in joining a growing firm at a dynamic time? Consider joining White Oak Fund Services, LLC. White Oak is a professional services firm providing outsourced CFO support, fund administration and tax compliance services to private equity firms in all stages of their life cycle. The Part-Time Private Equity Tax Accountant will be responsible for...

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...

The Equities Middle Office handles various functions that support the Equity Derivative, Equity Financing, and Cash Equity trading sectors. This includes a range of markets and products, such as OTC equity derivatives, cash equities, and exchange-traded derivatives.Client DetailsA highly reputable global banking institution.DescriptionCollaborate with...

Job SummaryThe Compliance Specialist will assist in achieving quality compliance with the requirements of the WSFSSH's external funders and regulators, thereby safeguarding WSFSSH's assets and income streams, and meeting WSFSSH's high standards for excellence in this sphere. The Compliance Specialist will interact extensively with both external stakeholders...

Job Title: Equity Middle OfficeJob ID: Title: Equity Middle OfficeDuration: 4 monthsLocation: New York – HYBRID – (2 days onsite, 3 days remote in a week)Job DescriptionThe Equities Middle Office plays a crucial role in supporting the Equity Derivative, Equity Financing, and Cash Equity trading businesses. This team is responsible for various functions,...