Electronic Trading compliance & Operational Risk Officer
The... and functional leaders in compliance legal, risk, and IT... Framework. Draft and review compliance policies and procedures related... trading. Develop and deliver compliance training.... read more
Associate Director and Counsel
The candidate will be... team. Conducting legal research and staying abreast of current regulatory developments in the capital markets space. Providing legal research, analysis, advice and support to functional groups including Tax, Finance, Operations and Compliance....
Duties: Providing legal advisory... support to the U.S. Compliance Control Room. Delivering specialized... partners. Manage the activities of external counsel to identify the optimal... resources for resolving issues and managing the quality and cost of the external services....
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....
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 contracts with clients, counterparties, data providers and software...
Testimonial of the Week
LawCrossing is fantastic! When I am looking for a job, it is the first place I come to. The service is very good and I enjoyed the emails. LawCrossing has more jobs and it is more tailored. Other sites gave a lot of irrelevant results. Your site may have a great algorithm, but it felt like an actual person choosing jobs they felt would be good based on my search. I will always recommend this site!
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......
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....
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...
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......
Assistant General Counsel, Corporate & Securities
The... 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... necessary). Providing advice and counsel to business team leaders... counsel...