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AN.ONYMOUS
New York, NY, United States
Leading Trading Firm is looking to hire a Compliance Officer in New York City. This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry leading team. The ideal candidate will have: Strong knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940 is r
Job Source: AN.ONYMOUSBlackstone Restaurant
New York, NY, United States
Blackstone is the world's largest alternative asset manager. We seek to create positive economic impact and long-term value for our investors, the companies we invest in, and the communities in which we work. We do this by using extraordinary people and flexible capital to help companies solve problems. Our $1 trillion in assets under management in
Job Source: Blackstone RestaurantPartnership Employment
New York, NY, United States
Position Overview: As a Senior Trade Surveillance Compliance Officer, you will play a crucial role in ensuring that our firm adheres to regulatory requirements and internal policies related to trade surveillance. You will be responsible for monitoring trading activities, detecting potential violations, and implementing measures to mitigate risks. T
Job Source: Partnership EmploymentION GROUP
Jersey City, NJ, United States
About Us DASH Financial Technologies (part of ION Group) is the leading US options technology and execution provider, offering fully customizable routing and order management solutions to financial institutions as well as complete order routing transparency featuring real-time visualization. The Role The Compliance Officer is an integral part of
Job Source: ION GROUPBloomberg
New York, NY, United States
Senior Compliance Officer - Trade / Export Control - Legal & Compliance **New York, NY** Posted May 17, 2024 - Requisition No. 125360 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 we're known for. It's what keeps us inventing
Job Source: BloombergPhyton Talent Advisors
New York, NY, United States
Our client a top tier international investment banking firm is seeking a Compliance Surveillance specialist to join their growing team. You will be responsible for monitoring trading across all asset classes to detect activities that could adversely impact the firm and its reputation. You will work closely with experienced staff to develop skills i
Job Source: Phyton Talent AdvisorsMizuho Corporate Bank
New York, NY, United States
About the Role The individual will be joining the Compliance Surveillance team. The surveillance team is responsible for monitoring trading in all asset classes, to detect trading activity that could adversely affect the firm and its reputation. The surveillance professional will work closely with experienced staff and develop the capacity to condu
Job Source: Mizuho Corporate BankMizuho Financial
New York, NY, United States
About the Role The individual will be joining the Compliance Surveillance team. The surveillance team is responsible for monitoring trading in all asset classes, to detect trading activity that could adversely affect the firm and its reputation. The surveillance professional will work closely with experienced staff and develop the capacity to cond
Job Source: Mizuho Financial, NY, United States
Leading Trading Firm is looking to hire a Compliance Officer in New York City.
This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry leading team.
The ideal candidate will have:
Strong knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940 is required.
Testing & Monitoring
Policies & Procedures
Code of Ethics
Licensing & Registrations
Cross-Border / International Compliance
Marketing Review
Trade/Portfolio Compliance
Regulatory Inquiries/Affairs
A strong academic pedigree from a top university
The position will suit a highly motivated and entrepreneurial individual looking to work at a firm renowned for innovation and integrity.
A highly competitive compensation package is on offer.
For a discussion in confidence, please apply with your resume.
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Email Alert for Compliance Officer (Trading Firm) jobs in , NY, United States
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