: The Compliance Officer - Trade Surveillance at FalconX will be responsible for monitoring and investigating trading... Administration) or equivalent experience. * Experience: 7+ years of experience in trade surveillance or compliance within a broker...
Job description Business type Types of Jobs - Compliance / Financial Security Job title Head of Monitoring & Surveillance Compliance... to trade surveillance review. The Head of Monitoring and Surveillance will also be responsible for managing controls...
Job description Business type Types of Jobs - Compliance / Financial Security Job title Head of Monitoring & Surveillance Compliance... to trade surveillance review. The Head of Monitoring and Surveillance will also be responsible for managing controls...
Firm's employees, in addition to trade surveillance review. The Head of Monitoring and Surveillance... as inquiries. Key Responsibilities: - Lead and manage the E-Communications, Voice-Communications, and Trade Surveillance...
Compliance and Risk Officer, will be a highly visible, senior leadership position, reporting directly into the Global/Executive... Chief Compliance and Risk Officer, working closely with RPW senior leadership to collectively support the growing RPW...
Compliance Officer (CCO) and contribute significantly to a dynamic and bold finance and insurance landscape! As a CCO, ensuring... Compliance Officer Responsiblities: Lead LSI’s implementation, maintenance, and enforcement of all relevant Policies and Written...
as a Chief Compliance Officer (CCO) and contribute significantly to a dynamic and bold finance and insurance landscape! As a CCO...: Chief Compliance Officer Responsiblities: Lead LSI’s implementation, maintenance, and enforcement of all relevant Policies...
they are and what they contribute. To learn more about CIBC, please visit What You’ll Be Doing: The Swap Dealer Compliance Officer is responsible... for performing important advisory, training, surveillance and analytical functions to support CIBC’s Swap Dealer Compliance program...
Job Description: Job Title Compliance Officer – Fixed Income Sales & Trading - Credit Corporate Title Vice...) related to Credit sales and trading activities, surveillance and monitoring of controls, supervision, and other issues...
Job Description: Job Title Compliance Officer – Investment Bank Compliance – Fixed Income Sales & Trading – Credit... and trading activities, surveillance and monitoring of controls, supervision, and other issues that are typical for a large global...
and developments, monitoring risk/trade surveillance, and identifying and corrects possible gaps and weaknesses. Our particular focus... and administration of the Fixed Income compliance program. Coordinate and performs risk assessment, monitoring, testing and surveillance...