7 Compliance Control Room Jobs in New York
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Senior Compliance Officer (Control Room Chardan - New York, NY, United States Title : Senior Compliance Officer (Control Room) About the Company: Chardan is an independent global investment bank specializing in healthcare, technology, SPACs and emerging growth companies 5 days ago
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Xray Technologist Mitchell Martin Inc. - New York, NY, United States , and infection control standards. Develop X-rays as required, ensuring patient comfort. Complete necessary clerical work to maintain patient records. Maintain cleanliness and orderliness in Radiology Room 12 days ago
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Control Room / Research Compliance - Investment Bank Larson Maddox - New York, United States JOB TITLE - Control Room Compliance Officer STRUCTURE - Hybrid JOB SUMMARY: Include, but are not limited to: Provide Firm Compliance policy guidance with respect to Information Barriers USD11000 - USD160000 per annum 7 days ago
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Compliance Analyst BBVA - New City, NY, United States training as needed, including annual FINRA Firm Element and Control Room training through RegEd, FINRA Regulatory Element Training, etc. Perform annual background checks of all BBVA Securities Inc. (“BSI 6 days ago
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Director- Equity Capital Markets Compliance Advisor BNP Paribas - New York, NY, United States for providing compliance coverage to the Firm’s ECM business while also working closely with colleagues with primary responsibility for Sales and Trading, Compliance Control Room, Investment Banking, and Equity 28 days ago
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Senior Compliance Officer - Control Room & Employee Trading (Hybrid - New York) First Citizens Bank - New York County, New York , monitoring and surveillance of Firm’s activities Work with training and development to update Control Room related training, in particular Personal Employee Trading and other related Control Room topics Ensure 27 days ago
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Manager, CIB & Research Compliance Officer Scotiabank - New York City, NY, US business initiatives or other ad-hoc projects. Work closely with the Control Room personnel on conflicts issues, including issues related to chaperoning of Research and Investment Banking interactions More than 30 days ago
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