Trade Review Jobs in New York, NY

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

from: linkedin.com - 5 days ago

BBVA in the USA - , NY, United States

to the transaction monitoring and surveillance program. ● Review of alerts generated by the transaction monitoring system as well as case investigation, EDD, FinCEN 314(a), and Trade Finance reviews. ● Document

from: linkedin.com - 9 days ago

Robert Half - US - New York, United States

contact information, settlement documentation, wrong information to counterparties and agent banks • Prepares/reviews, executes and tracks all loan trade documentation including confirmations $90k - $100k

from: efinancialcareers.com - 3 days ago

Atlantic Group - New York, NY, United States

, analyze, and review reporting requests Assist with preparation of quarterly and annual financial statements Work with dedicated fund administrator on NAV review and preparation, expense payment, and trade

from: linkedin.com - 9 days ago

Sia Partners - New York, NY, United States

reviews for trade capture systems Review relevant Account Management / Control Policy and Standard(s) Review Identity Assurance Levels and map / align to Account Management Standards Review Recertification

from: linkedin.com - 15 days ago

Santander Holdings USA Inc - New York, United States

/ Sponsor, and third-party research reports Review credit documentation and synthesize into key terms and conditions, including syndicated and bilateral credit agreements, trade agreements, security Competitive

from: efinancialcareers.com - 6 days ago

Cantor Fitzgerald - New York, NY, United States

compliance with applicable trade and transaction reporting regulations. Create, modify and review EBS responses related to front office activities. Conduct delegated supervisory tasks and follow up

from: linkedin.com - 19 days ago

Phyton Talent Advisors - New York, NY, United States

compliance program. Essential Duties and Responsibilities: 1. Trade Surveillance: - Review, research, and respond appropriately to alerts identified on the Firm’s trade surveillance platforms. - Assess

from: linkedin.com - 21 days ago

Citizens - New York, United States

colleagues assigned to this team. Responsible for all regulatory record keeping and files, group presentations, performance management and specific trade review/supervision. Required to identify and mentor Competitive

from: efinancialcareers.com - 6 days ago

Atlantic Group - , NY, United States

by updating internal system as well as working with third party providers Coordinate loan settlements as buyer, seller, and agent including KYC procedures, allocating trades and drafting flow of funds Review

from: linkedin.com - 21 days ago