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Hold Brothers Capital, LLC
New York, NY 10036
Working closely with compliance and accounting areas on reconciling all trading activity. Assist the P&S department in resolving trade breaks with...
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New York, NY
Review anti-fraud controls (cancelled and modified trades, unrecorded trades, technical books, P&L variation, broker fees, etc.); Figures as at 31 March 2019....
New York, NY 10029 (Yorkville area)
$47,000 - $52,000 a year
Works with hiring managers to ensure compliance with all federal/state laws and regulations. Our Metro NY Hospitality team is expanding!...
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New York, NY 10011 (Chelsea area)
6+ years Trade Compliance Management. Assists the Director of Trade Compliance and various WW departments and global subsidiaries with Customs compliance issues...
Ongoing Watch and Restricted List maintenance, including necessary interactions with private side deal team members or other relevant LCD or business unit...
Supporting a broad stakeholder base, TTRO liaise with various internal and external counterparties daily, including other Operations teams, Sales and Trading,...
IndexIQ, a New York Life Investments Company, a trusted provider of innovative investments solutions is seeking a Compliance Officer to provide support to...
The Global Financial Crimes Unit (GFCU) is responsible for the effective implementation, maintenance and continuous improvement of global compliance programs...
New York, NY
Develop and deliver compliance training. Are you an experienced compliance professional? Knowledge of compliance, change and operational risk....
Regulation, Compliance & Anti-Financial Crime. Regulation, Compliance and Anti-Financial Crime (AFC) protects the integrity and reputation of Deutsche Bank....
New York, NY 10001 (Chelsea area)
Research, write, and review international trade advice. Formulate ideas and deliver possible trade savings opportunities. No phone calls or agencies please....
New York, NY
Conduct training for business partners related to product regulatory and trade compliance. Government, Customs-Trade Partnership Against Terrorism (C-TPAT),...
New York, NY 10282 (Tribeca area)
Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. Our division prevents, detects and mitigates compliance,...
New York, NY 10261
Provides compliance guidance on Function rules and regulations relating to EIO&T operational issues, transactional approvals and the application of internal...
MISSION STAFFING
New York, NY 10038 (Financial District area)
$175,000 - $250,000 a year
Oversee all activities of trade operations as it relates to trade processing, settlement and other operational responsibilities of derivative securities trading...
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