Latest Trade Compliance Training jobs in New York, NY

12 Trade Compliance Training Jobs in New York, NY

Senior Murex Analyst - Commodities QUANTEAM - North America (RAINBOW PARTNERS Group) - New York, NY, United States as needed. - Collaborate closely with various teams including CM Quants, MOA, and MOE. - Conduct regular training and skills assessments for peers. - Ensure adherence to branch compliance rules. Requirements 5 days ago
Senior Control Desk BGC Group - New York, NY, United States transactions including trade error resolution Existing contact with FCM operation and credit/compliance staff Knowledge of various classes of commodity futures including interest rates, commodities, currencies 12 days ago
Compliance Officer - Personal Account Dealing and Conflicts of Interest (COI) Analyst - Legal & Compliance Bloomberg - New York, United States assessments, compliance testing, etc. Support the maintenance and enhancement of technology solutions You'll need to have: Familiarity with regulatory compliance and trade monitoring software Experience Competitive 27 days ago
Senior Compliance Officer Global Investment Bank and Broker Dealer - , NY, United States Trade surveillance reviews Assist with the review of firm marketing materials. Understanding of FINRA & SEC marketing/advertising rules, public and private fund experience a plus. Compliance Testing 14 days ago
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General Counsel/CCO-Private Equity The PeterSan Group and PeterSan Legal Staffing - New York, NY, United States compliance reviews. Update and maintain compliance manuals and procedures, code of ethics program and employee compliance trainings. Administer securities trading policies, including pre-approval of employee 19 days ago
Compliance Officer- Control Room Larson Maddox - New York, United States A Trillion-dollar Financial Services firm is looking to add a Compliance Officer- Control Room to their team! In this role, you will carry out the Second Line of Defense monitoring and trade USD100000 - USD140000 per annum 8 days ago
Investment Bank Compliance - Control Room Larson Maddox - New York, United States , rules, and regulations applicable to their activities and the development of related policies, procedures, training, and controls. The department ensures compliance with US securities, banking, and anti USD11000 - USD160000 per annum 11 days ago
Compliance / Senior Compliance Counsel Colgate-Palmolive Company - New York, NY, US and export controls, as well as the Company’s Code of Conduct and related policies and procedures. What you will do: Develop, implement, and manage compliance programs, including creating training materials More than 30 days ago
Trade Compliance Officer Hold Brothers - New York, NY compliance with relevant regulations, laws, and policies Work with traders to ensure that all trades are executed in compliance with regulatory requirements and internal policies Develop and implement policies 110,000 - 150,000 21 days ago
Trade Compliance Administrator (1171093) Placement Services USA, Inc. - Newark, NJ, US reports. Update Trade Compliance Project Teams site with status of assigned project tasks. Update RAIL and detailed project plans for all assigned tasks. Execute SOPs, run KPI reports, monitor training 2 days ago

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