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Trade Compliance Counsel 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
Oct 04, 17
Info Source
Employer
Electronic Trading Compliance & Operational Risk Duties:... 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 5 yrs required
Location
New York City, NY
Posted Date
Oct 17, 17
Info Source
Employer
Corporate Compliance - Fixed Income Sales... and Trading Compliance - Vice President Responsibilities:... internal and external audits, compliance tests and exams; assist... audits. Assist with core Compliance functions including marketing review,... driven by the Corporate Compliance Team related to Private...... read more
Company
Academic
Experience
Min 5 yrs required
Location
New York City, NY
Posted Date
Oct 13, 17
Info Source
Employer
Import and Export Controls Compliance Officer Duties: Reporting to... the University’s Chief Compliance Officer, serves as the... Import Control laws and Trade Sanction regulations (Export Compliance).... Consults with University faculty... potential or actual export compliance issues, e.g., whether a... or other applicable international trade regulation regimes. Will have... Counsel... read more
Company
In-House
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Oct 06, 17
Info Source
Employer
Counsel, Compliance The candidate will help... implement firm's compliance program, with a focus... on anti-corruption, sanctions compliance, and know-your-customer initiatives. Responsibilities... will include: Develop and implement policies and procedures; Assess and act upon issues identified during due diligence processes, including... read more
Company
Recruiter
Experience
Min 4 yrs required
Location
New York City, NY
Posted Date
Aug 21, 17
Info Source
Recruiter
Director - Integrity and Compliance The candidate provides integrity... and compliance training, leading and conducting... region, evaluates integrity and compliance trends, develops I&C strategies... leaders to tailor the compliance program to address risks... relating to the anti-corruption, trade controls, and data privacy.... compliance... read more
Company
In-House
Experience
Min 12 yrs required
Location
New York City, NY
Posted Date
Oct 12, 17
Info Source
Employer
Head of Transactional Compliance The candidate reporting to... the Head of Institutional Compliance, will be responsible for... the company Investments transactional compliance program, including a review... Direct oversight of the Compliance conflicts function and related... primary coordinator for transactional compliance reviews with internal and... Compliance... read more
Company
In-House
Experience
1-2 yrs required
Location
New York City, NY
Posted Date
Oct 18, 17
Info Source
Employer
Conflicts Officer, Compliance The candidate will join... Institutional Compliance team. Reporting to the... by certain transactions. The Compliance role presents an opportunity... and information needed for Compliance pre-trade approval. Review particular... Conflicts Director. Develop and compliance regulatory policies and procedures... compliance... read more
Company
In-House
Experience
7-10 yrs required
Location
New York City, NY
Posted Date
Oct 13, 17
Info Source
Employer
provide senior legal and compliance counsel for the Firm’s... Analytics businesses. Focus on compliance best practices with respect... Harmonize the Firm’s Legal, Compliance, Human Resources, and Operational... U.S. Market Access Rule Compliance, cross-border trading issues, and... compliance trading, including OATS, FINRA Trade Reporting requirements, market manipulation...... read more
Company
Recruiter
Experience
2-4 yrs required
Location
New York City, NY
Posted Date
Jul 21, 17
Info Source
Recruiter
Midlevel Investment Management Associate Attorney The candidate should have 2-4 years of representing registered/unregistered funds and giving counsel and advice regarding regulatory/compliance... matters, trading, tax, ERISA, etc.at a major law firm.... read more
Company
Recruiter
Experience
2-4 yrs required
Location
New York City, NY
Posted Date
Sep 19, 17
Info Source
Recruiter
Midlevel Investment Management Associate Attorney The candidate should have 2-4 years of representing registered/unregistered funds and giving counsel and advice regarding regulatory/compliance... matters, trading, tax, ERISA, etc.at a major law firm.... read more
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