Futures/derivatives Compliance Office jobs - New York, NY
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| May 06 | Compliance Officer - FX Advisory Compliance. | Compliance Search Group | New York, NY |
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Providing regulatory/compliance training as needed. Level of skills, abilities and knowledge: 3-5 years of compliance or ... Securities and/or futures licenses, a plus... more |
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| Apr 29 | VP Compliance Officer | Access Staffing | New York, NY |
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issued by US Securities, banking, derivatives, and futures regulators. Some ... with front office, support units, head office and branches. Design and conduct... more |
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| Apr 22 | VP Compliance - Derivatives Trading / Broker Dealer | Global Financial Services Frim | New York, NY |
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Compliance Manager (VP level) with prior compliance experience covering Derivatives ... issued for U.S. Securities, Banking, Derivatives and Futures Strong knowledge of... more |
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| Jun 01 | Business Analyst- FX & Money Markets | Triangle Developer Network | New York, NY |
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OTC (Interest Rate Credit or FX) and listed derivatives (Futures Options) fixed income ... Office Managers Traders Middle Office Comptrollers and Risk Management in... more |
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| Jun 01 | AML/BSA-Compliance Officer | USA | New York, NY |
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banks compliance function Manage the AML/KYC compliance function by implementing ... issued by US Securities, Banking, Derivatives and Futures regulators Extensive... more |
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| May 31 | Business Analyst - FX & MM | Galen Technology Solutions | New York, NY |
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Interface with Operations / Back Office Managers, Traders, Middle Office, Comptrollers and ... Rate, Credit or FX) and listed derivatives (Futures & Options), fixed income products... more |
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| May 31 | VP - Business Analyst - FX/MM | Division One Solutions | Jersey City, NJ |
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OTC (Interest Rate Credit or FX) and listed derivatives (Futures Options) fixed income ... OTC (Interest Rate, Credit or FX), listed derivatives (futures& options), Fixed... more |
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| May 31 | Senior Business Analyst - Emerging Markets | Mitchell Martin | New York, NY |
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Credit Derivatives Exotics Equity Derivatives RiskOne) Specifically Brazil ... interfacing with business clients (front office middle office and back office) to... more |
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| May 29 | AML/BSA-Compliance Officer | Drum Associates | New York, NY |
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compliance function Manage the AML/KYC compliance function by implementing ... issued by US Securities, Banking, Derivatives and Futures regulators Extensive... more |
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| May 28 | MR 6069 VP Technical Business Analyst To $140,000 | Market Resolve | Jersey City, NJ |
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Middle Office Comptrollers and Back Office in all aspects of business ... Rate, Credit or FX) and listed derivatives (Futures & Options), fixed income products... more |
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| May 24 | Futures Compliance Coverage - Vice President | Morgan Stanley | New York, NY |
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Futures and/or OTC Derivatives rules and regulations. Prior and sustained experience interacting ... experience as a Compliance Officer with a Futures Commission Merchant or... more |
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| May 24 | Capital Markets Business Analyst - 170k | Experis / Manpower | Jersey City, NJ |
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Interface with Operations/Back Office Managers, Traders, Middle Office, Comptrollers and R ... Rate, Credit or FX) and listed derivatives (Futures & Options), fixed income products... more |
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| May 24 | Compliance- Summer Intern | Newedge Group | New York, NY |
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Compliance Internship Day to Day Responsibilities Include Assists with projects and day to ... and clearing services covering options and futures contracts for financial products and... more |
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| May 23 | Derivatives Compliance Manager | Depository Trust & Clearing | New York, NY |
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The Office of Corporate and Regulatory Compliance is responsible for compliance with ... Responsible for supporting all aspects of derivatives trade repository compliance... more |
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| May 23 | Derivatives Compliance Manager | Depository Trust and Clearing | New York, NY |
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The Office of Corporate and Regulatory Compliance is responsible for compliance with ... Responsible for supporting all aspects of derivatives trade repository compliance... more |
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| May 22 | OTC Middle Office Analyst | Michael Page International | New York, NY |
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OTC MIddle Office Analyst(Banking and Finance) About our client Middle Office OTC ... trade settlement, collateral management, compliance reporting, and cash management... more |
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| May 22 | Foreign Exchange Trading Team Leader | US Bank | New York, NY |
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Risk, FX Operations and Middle Office, Legal, Compliance, Audit and our ... of futures, currency forwards, and other derivatives. * Skilled in the use of MS... more |
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| May 20 | Securities/Capital Markets Sr BA | Huff Consulting | New York, NY |
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Reporting, Compliance Custody Operations Derivatives processing (including futures, ... Hedge Fund Administration Middle Office, Investment Operations Reconciliation... more |
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| May 16 | Listed Derivatives Operations, Analyst | Goldman Sachs & Co | New York, NY |
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as well as monitoring transactions for compliance with legal and regulatory ... Derivatives Business sits within Listed Derivatives and is a market leader in the... more |
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| May 15 | Business Analyst - FX and Money Markets | Galen Technology Solutions | New York, NY |
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procedures Interface with Operations Back Office Managers Traders Middle Office ... OTC (Interest Rate Credit or FX) and listed derivatives (Futures Options) fixed income... more |
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| May 13 | Global Tax Supervisor | HSBC Holdings | New York, NY |
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principal contracts, options, forwards, futures) * Corporate actions * PFIC/CFC ... global clients Management of Risk * Ensure compliance, operational risk controls in... more |
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| May 11 | Compliance Officer (Up to VP) | Parker Clark Executive Recruitment | New York, NY |
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TITLE: Compliance Officer (up to VP Level) Up to 120k + Bonus Duties will include ... and responsibilities as assigned by Chief Compliance Officer. 5-10 years of experience... more |
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| May 10 | Global Tax Supervisor | HSBC | New York, NY |
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principal contracts, options, forwards, futures) * Corporate actions * PFIC/CFC ... global clients Management of Risk * Ensure compliance, operational risk controls in... more |
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| May 07 | Sr. Risk Business Analyst | Talon | Jersey City, NJ |
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Middle Office, Comptrollers and Back Office in all aspects of risk management ... Rate, Credit or FX) and listed derivatives (Futures & Options), fixed income products... more |
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| May 02 | Director Market Surveillance | Chicago Mercantile Exchange | New York, NY |
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mitigating regulatory risk, and ensuring compliance with core principles applicable to ... As the worlds leading and most diverse derivatives marketplace, CME Group... more |
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| Apr 27 | Fixed Income Security Master File | Shulman Fleming | New York, NY |
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to, Front Office, Technology, Operations and Compliance. Responsibilities: This role ... and corporate bonds, mortgages, and derivatives such as futures and swaps. more |
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| Apr 23 | Operations Analyst | Hedge Fund | Greenwich, CT |
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solutions to ensure firm remains in compliance with regulations *Coordinate with ... Manager (Omgeo CTM) preferred *Microsoft Office skills, including Excel *Organized and... more |
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| Apr 23 | Audit In Charge Location | Deloitte Development | New York, NY |
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and commodity trading industries, ensuring compliance with Sarbanes-Oxley 404 ... swaps, mortgage backed securities, futures and options; Employee benefit plan... more |
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| Apr 20 | Commodities & Futures Compliance Officer | Robert Half Financial Service | New York, NY |
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bank, is seeking a Commodities & Futures Compliance Officer that has ... compliance experience in the Futures & Derivatives Space Strong Commodities and Futures... more |
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| Apr 18 | Compliance Officer (Securities) | Newedge | New York, NY |
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within NUSA. Assist to position Compliance as a business partner to ... and clearing services covering options and futures contracts for financial products and... more |
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| Apr 15 | Derivatives Compliance Manager | Dtcc | New York, NY |
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The Office of Corporate and Regulatory Compliance is responsible for compliance with ... Prior managerial experience and knowledge of derivatives compliance strongly preferred. more |
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| Apr 12 | AML Compliance Officer | Michael Page International | New York, NY |
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Review and revise policies and procedures applicable to AML/KYC Compliance ... with Front Office, Support Units, Head Office, and the "affiliated Bank's New York... more |
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| Apr 09 | Compliance Officer (Securities) | Newedge Group | New York, NY |
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of marketing material issued by the front office. * Provide appropriate support and ... and verbal communication skills. * 7+ years Compliance experience. * Ability to... more |
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| Mar 30 | Associate Fixed Income Product Control | Ashton Lane Group | New York, NY |
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Requirements: • 3+ years product control / middle office experience in a major investment ... Swaps, FRAs, SpreadLocks, Futures, Treasuries, ETOs • Understanding of derivative... more |
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| Mar 27 | Audit In Charge Location | Deloitte | New York, NY |
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and commodity trading industries, ensuring compliance with Sarbanes-Oxley 404 ... swaps, mortgage backed securities, futures and options; Employee benefit plan... more |
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| Mar 27 | Jr. Java Developer | Harvey Nash | New York, NY |
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systems across front, middle and back-office operations. We are looking for a ... Derivatives, Credit Risk, Equities, Equity Derivatives, Options, Fixed Income, Foreign... more |
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| Jan 06 | Junior Lawyer | Mitchell Martin | New York, NY |
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rulemaking (including front and back office system developments/enhancements and ... of general broker-dealer legal/regulatory/compliance experience, preferably in an... more |
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| Dec 13 | Director, Risk Management | Compliance Search Group | New York, NY |
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As the worlds leading and most diverse derivatives marketplace, CME Group ... free to visit our informational blogs: The Compliance Exchange www.CompliancEX.com The... more |
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| Nov 09 | Internal Business Audit Associate | Goldman Sachs & Co | Jersey City, NJ |
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and Regulatory Reporting Tax Legal and Compliance Corporate Governance Anti-Money ... areas: Corporate Governance Consumer Compliance Regulatory Reporting... more |
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| Aug 06 | Financial Operations and Services - Operations Associate | Enfusion | New York, NY |
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services industry, preferably Mid/Back Office Operations at Hedge Fund, Prime Broker ... Equity and Equity Options Commodity Futures and Options Fixed Income (Bonds and... more |
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