Trade Surveillance Compliance Analyst

Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

Job Description:At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.One of the keys to driving Responsible Growth is being a great place to work for our...

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...

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...

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...

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 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....

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...

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...

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...

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...

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...

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

Job Code: 6280- Country: US- City: New York- Skill Category: Compliance- Description: - **Job title: Sales and Trading Supervision*** **Corporate Title: Associate/Vice President** **Department: Surveillance/Compliance** **Location: New York** The pay range for this position at commencement of employment is expected to be between $100,000 and...

Trade Compliance Analyst in Newport Beach, CA This is an ideal opportunity for individuals interested in pursuing a career in a fast paced, dynamic, and challenging workplace with highly motivated and intelligent professionals. In this role, you will learn about trades, trade strategies, the impact of trades to client portfolios, and the implementation of...

RESPONSIBILITIES: 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...