Are you a business? Hire trade compliance candidates in New York, NY
Hands-on experience with core credit operations systems, including order management (trading), compliance systems, data flows, and fintech tools for CLO management (issuer level, security level, and trade data).
Vice President, FX & Fixed Income Trade Surveillance Compliance. The Company is seeking a Vice President for FX and Fixed Income Trade Surveillance Compliance. The successful candidate will be responsible for day-to-day surveillance assignments, including the review and follow-up on a variety of ...
Work with traders to ensure that all trades are executed in compliance with regulatory requirements and internal policies. In this role, the Trade Compliance Officer will be responsible for ensuring compliance with all relevant regulatory requirements related to public equities trading, including...
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.
Engages in activities to provide independent compliance and operational risk oversight of FLU or Control Function (CF) performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (col...
Vice President, Liquidity Risk Oversight - Treasury Risk At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets. Every day around the globe, our 50,00...
Managing, monitoring, and ensuring compliance with trade practices and consulting with legal department and senior management to drive utilization of required alcohol trade practices for non-alcoholic products. Senior Marketing Manager, Non-Alcohol positions offered by Diageo North America, Inc. ...
Senior Vice President, Liquidity Risk At BNY, our culture empowers you to grow and succeed. As a leading global financial services company at the center of the world’s financial system we touch nearly 20% of the world’s investible assets. Every day around the globe, our 50,000+ employees bring t...
Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. The Capital One Legal Department is seeking an all-star attorney with a passion for export con...
Skills: Sales, Sales Hunter, Trade Surveillance, Market Surveillance, Communication Surveillance, Regtech, Fintech, Finra. They are building on their success in the UK and require additional Sales talent to drive the sales process and grow their client base in NAM. Regulatory or Compliance Softwa...
Commercial banking (Front and back office), Trade Finance, Payments and SWIFT messaging. Corporate & Support Functions IT: Finance, Counterparty & Credit Risk systems, Compliance applications ...
Coordinate internal pre-trade preparation to ensure legal, compliance, risk, and operational ... Familiarity with credit and legal aspects of securities lending, repo, derivatives, including MSLA ...
Drive initiatives to improve sustainability including sourcing eco-friendly materials, reducing waste, and optimizing energy efficiency * Ensure compliance with all environmental, labor, and trade ...
... trade/sales support to such a desk * Functional knowledge of the US fixed income and derivative ... among Compliance, the Business and other infrastructure functions * Action-oriented and delivery ...
Review trade exception reports and trading activity to ensure compliance with appropriate rules, regulations, and firm policies * Design and implement surveillance reports and processes for various ...
Operations and the wider Compliance function. Role Responsibilities ... Ensure the Firm meets its obligations pursuant to key regulations related to equities trading ...
... compliance parameters. You will also provide support and coverage for other Core Trade Products (including Import/Export LCs, and Standby LCs) to ensure all daily activities are completed on time, as ...
... to ensure compliance and mitigation of risks associated with international trade transactions. What We Offer You * A diverse and inclusive environment that embraces change, innovation, and ...
Review trade exception reports and trading activity to ensure compliance with appropriate rules, regulations, and firm policies. * Create and develop exception reporting process including trend ...
Utilase and create trade ideas, market analysis, and relevant content to enhance client interactions. * Execute trades efficiently, ensuring compliance with all regulatory standards. * Expand ...
... compliance system, * 2) Interacting real-time with investors to evaluate pre-trade alerts generated by their trading orders, and * 3) Resolving post-trade incident exceptions generated from Sentinel ...
... of the World Trade Center (WTC) Health Program. This is a multifaceted role that is highly ... Perform all duties and functions in compliance with state and federal laws and regulations
You will assist in the care for a very diverse population of members of the World Trade Center (WTC ... Perform all duties and functions in compliance with state and federal laws and regulations
The Bank is a trusted partner to our clients on a global scale with expertise in trading and ... Coordinate with Deutsche Bank Compliance, Credit, Finance and other control functions to ensure ...
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