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Trade Compliance Attorney Jobs in New York City

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Job info
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Jan 22, 19
Info Source
Employer
Total Views
14
Legal Counsel - Compliance (Anti-Corruption and LATAM) Duties:... Policies & Procedures in compliance with all applicable laws... other members of the Compliance team, to support a... strong anti-bribery and corruption compliance culture and drive appropriate... compliance topics including ethics, anti-bribery, trade compliance, confidentiality, conflicts of...... read more
Company
In-House, JPMorgan Chase & Co,
Experience
Location
New York City, NY
Posted Date
Jan 22, 19
Info Source
Employer
Total Views
37
close coordination with Legal, Compliance, Trading and Research teams,... close coordination with Legal, Compliance, Trading and Research teams,... & Trading personnel in compliance with information barriers ... investment bank legal or compliance dept. strongly preferred ... bank loans and bankruptcy trade claims preferred, not required...... read more
Company
In-House, UBS
Experience
Min 8 yrs required
Location
New York City, NY
Posted Date
Jan 20, 19
Info Source
Employer
Total Views
38
of Americas Electronic Trading Compliance & Operational Risk The... and functional leaders in compliance, legal, risk, and IT... the Americas Electronic Trading Compliance team team and participate... Framework. Draft and review compliance policies and procedures related... trading. Develop and deliver compliance training.... read more
Company
In-House, UBS
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Jan 20, 19
Info Source
Employer
Total Views
22
Equity Derivative Compliance & Operational Risk Officer... and functional leaders in compliance, legal, risk, and IT... Framework. To draft and review compliance policies and procedures related... to equity and equity derivative sales and trading. To Develop and deliver compliance training.... read more
Company
In-House
Experience
7-9 yrs required
Location
New York City, NY
Posted Date
Jan 19, 19
Info Source
Employer
Total Views
17
laws matters and related. compliance, including Securities Act and... and procedures to ensure compliance with SEC and other... practices to ensure continued compliance. Assisting corporate secretary in... all corporate secretarial function matters, including preparation of notices, agendas and materials for... read more
Company
In-House, UBS
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Jan 20, 19
Info Source
Employer
Total Views
35
Electronic Trading Compliance & Operational Risk Officer... and functional leaders in compliance, legal, risk, and IT... design and implementation of the Operational Risk Framework. Draft and review compliance policies and procedures related... to electronic trading. Develop and deliver compliance training.... read more
Company
In-House
Experience
Min 20 yrs required
Location
New York City, NY
Posted Date
Jan 22, 19
Info Source
Employer
Total Views
9
TSS Senior Lead Attorney Responsibilities: Assisting key business,... modeling) and legal and compliance stakeholders with business expansions... providing well-researched guidance on compliance with rules and regulations... regulation, relating to securities, compliance obligations and regulatory examinations;... negotiating, drafting, developing and maintaining... read more
Company
In-House
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Jan 20, 19
Info Source
Employer
Total Views
27
Director, Trade Compliance Counsel The candidate... will serve as Director, Trade Compliance Counsel reporting to... the VP-International Trade, Global Compliance Counsel. Will... and regulations governing international trade of goods (imports and... compliance with applicable international trade regulatory policies, laws and... trade... read more
Company
In-House, Citigroup Inc
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Jan 18, 19
Info Source
Employer
Total Views
22
Compliance Product Officer - ICG... an Equity Derivatives product compliance risk officer for Independent... Compliance Risk Management (ICRM) responsible... Primary responsibilities include monitoring compliance risk behaviors and providing... day-to-day Compliance advice relating to the... Compliance, for ICRM. Provide global trade subject matter expertise to...... read more
Company
Recruiter
Experience
Min 2 yrs required
Location
New York City, NY
Posted Date
Jan 20, 19
Info Source
Recruiter
Total Views
1
Investment Management/Compliance/Legal Attorney The candidate is responsible... closely with the firm's compliance professionals and Chief Compliance... Officer. Duties include advising... the firm's business managers on securities laws and regulatory requirements and general sales and trading advisory work. Must have 2+... read more
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