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18 jobs found for

Senior Trade Compliance Counsel Jobs in Jersey City

Job info
Company
In-House
Experience
7-10 yrs required
Location
New York City, NY
Posted Date
Oct 13, 17
Info Source
Employer
The candidate will provide senior legal and compliance counsel... Analytics businesses. Focus on compliance best practices with respect... Provide real-time counsel to senior management and sales trading... Harmonize the Firm’s Legal, Compliance, Human Resources, and Operational... Compliance, trading, including OATS, FINRA Trade Reporting requirements, market manipulation...... read more
Company
In-House
Experience
Min 3 yrs required
Location
New York City, NY
Posted Date
Oct 19, 17
Info Source
Employer
Counsel, Corporate and Securities The... company's trading policies and compliance therewith; manages compliance with... Position involves exposure to senior executives and Board members... ownership reports. Advises on compliance with NASDAQ listing standards... promptly register as in-house counsel in New York State....... read more
Company
In-House
Experience
Min 8 yrs required
Location
New York City, NY
Posted Date
Oct 18, 17
Info Source
Employer
Director – Senior Counsel Responsibilities: Reports directly... guidance and support to Compliance and Legal colleagues, and... external working groups and trade associations to ensure remains... up-to-date on legal issues involving US economic sanctions, anti-money laundering, and anti-corruption matters. Will work... read more
Company
In-House
Experience
Min 2 yrs required
Location
New York City, NY
Posted Date
Oct 15, 17
Info Source
Employer
Tax Services Senior - Financial Services -... be involved in tax compliance accounts for hedge funds,... mutual funds and/or private equity funds. Should have a Bachelor's degree and 3+ years of related work experience or an Advanced degree in tax... read more
Company
In-House
Experience
Min 15 yrs required
Location
New York City, NY
Posted Date
Oct 19, 17
Info Source
Employer
Compliance Manager III (Compliance Manager... Corporate Treasury) Duties: Manages compliance efforts for the Company's... prior experience serving as Compliance Officer for a Finance... process validation to ensure compliance with laws, rules and... Compliance regulators, government officials, and senior Business Unit managers.... read more
Company
In-House
Experience
7-10 yrs required
Location
New York City, NY
Posted Date
Oct 18, 17
Info Source
Employer
Compliance Manager - US Markets... Duties: Responsible for compliance aspects of the US... Compliance and NFA regulations, including trade reporting, and major European... Provide management reporting to Senior Compliance management on various... the Markets LOB. Assist senior management reporting on regulatory...... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Oct 11, 17
Info Source
Employer
counterparty risk, technology, and compliance. Lead reviews of both... onsite meetings held with senior members of the manager’s... non-investment team (e.g. COO, CFO, GC/CCO, CTO). Communicate due diligence findings to the Investment Team and other decision makers at the firm... read more
Company
In-House
Experience
4-7 yrs required
Location
New York City, NY
Posted Date
Oct 18, 17
Info Source
Employer
working closely with the senior coverage attorneys and the... and service working with Compliance, Risk and the business... units to implement new regulatory initiatives and respond to regulatory inquiries coordinating with Operations and IT personnel and other coverage attorneys to... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Oct 18, 17
Info Source
Employer
Senior Risk Manager - Global... Control Room Manager Duties: Manage Capital One Commercial performing research clearance, and trade surveillance. A core responsibility... procedures and to support compliance with applicable regulatory obligations,... initiatives both within the Compliance Department and across the...... read more
Company
In-House
Experience
Min 15 yrs required
Location
New York City, NY
Posted Date
Oct 18, 17
Info Source
Employer
Director - Senior Counsel Responsibilities : The... closely with business, risk, compliance, finance and audit departments... for compliance with legal and regulatory... with and manage outside counsel handling transactional/documentation/ regulatory matters... for the Bank. Work with industry groups and colleagues... read more
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