Trade Compliance Officers

Essential Duties and Responsibilities Following is a summary of the essential functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time.  1. Identifies risks within Sales, Trading & Research where surveillance programs would support risk mitigation 2....

A growing registered investment advisor is adding to their legal and compliance team and is looking for you to be the firms next Compliance Associate! This is an incredibly exciting time to join the firm as they are opening their first office in the Southeast - offering an opportunity to be a founding member of the office. The Compliance Associate will be...

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...

Trading Operations Specialist Responsibilities:Assisting with the daily trade management work flow, which involves tasks such as trade entry, confirmation, and entity allocations.Collaborating with Traders and Analysts to fulfill various requests, including those related to new markets, new products, P&L analysis, exposure assessment, and trade activity...

Oversees compliance risk assessments to identify compliance issues, concerns, and deficiencies. Develops and executes monitoring and testing plans to reasonably ensure compliance with applicable laws, regulations, and internal policies and standards Compliance, Compliance Officer, Manager, Officer, Trust, Monitoring, Business Services

The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status. Need...

Role Description FNZ Securities USA, headquartered in New York City, is a self-clearing broker-dealer which provides fully disclosed clearing and custody services to introducing broker-dealers and RIAs in the wealth management space. We are currently going through the application process with FINRA to become a licensed clearing broker-dealer and we expect...

Role Description FNZ Securities USA, headquartered in New York City, is a self-clearing broker-dealer which provides fully disclosed clearing and custody services to introducing broker-dealers and RIAs in the wealth management space. We are currently going through the application process with FINRA to become a licensed clearing broker-dealer and we expect...

Role Description FNZ Securities USA, headquartered in New York City, is a self-clearing broker-dealer which provides fully disclosed clearing and custody services to introducing broker-dealers and RIAs in the wealth management space. We are currently going through the application process with FINRA to become a licensed clearing broker-dealer and we expect...

Performs skilled field inspection and code enforcement work in securing compliance with the County building, zoning, and land development codes, ordinances, and regulations, as well as other County laws, codes, and ordinances governing land use and d Compliance Officer, Officer, Compliance, Land Development, Contractor, Business Services, Inspection

Performs skilled field inspection and code enforcement work in securing compliance with the County building, zoning, and land development codes, ordinances, and regulations, as well as other County laws, codes, and ordinances governing land use and d Compliance Officer, Officer, Compliance, Land Development, Contractor, Business Services, Inspection

The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status. Need...

Key Duties & Responsibilities Assisting in enforcing Code of Ethics, which involves monitoring personal trading accounts, issuing certifications, and managing conflicts-of-interest. Maintaining and updating compliance policies and procedures, ensuring they're current and effective. Assisting with SEC and NFA filings and regulatory examinations to ensure...

Job DescriptionJob DescriptionWe are a Ballantyne/Charlotte, NC based FX Broker looking for a Trade Reconciliation Specialist to join our team. You will be responsible for preparing and analyzing financial records within a rapidly expanding organization. This is a fast-paced environment in which the candidate will need to be able to take ownership of...

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...

Responsible for conducting and directing compliance risk oversight of assigned business units (Broker Dealer) and/or functions. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise Compliance Ma Compliance Officer, Broker, Compliance, Officer, Senior, Management, Banking

Lead the tuning and optimization of existing models for enhanced accuracy and efficiency, find the gaps in existing models and develop/implement new models. Conduct detail testing and validation of AML models, document the results and recommend impro Compliance Officer, Optimization, Enterprise, Officer, Compliance, Operations Analyst, Business Services

Role: Senior Java DeveloperWork Location: Charlotte, North Carolina, United StatesContact: Sachin.s@synechron.comOur Challenge:As a Senior Java Developer, you will collaborate with stakeholders across the business to work on complex technical requirements. You will be responsible for managing multiple engagements, prioritize and resolve complex problems and...

Role: Senior Java Developer Work Location: Charlotte, North Carolina, United States Contact: Sachin.s@synechron.com Our Challenge: As a Senior Java Developer, you will collaborate with stakeholders across the business to work on complex technical requirements. You will be responsible for managing multiple engagements, prioritize and resolve complex problems...

Role: Senior Java DeveloperWork Location: Charlotte, North Carolina, United StatesContact: Sachin.s@synechron.comOur Challenge:As a Senior Java Developer, you will collaborate with stakeholders across the business to work on complex technical requirements. You will be responsible for managing multiple engagements, prioritize and resolve complex problems and...