NASDAQ Trading Desk Compliance Officer

Financial Company | New York, NY

On a daily basis the trade surveillance manager supports Global Trading, Sales and Sale Trading, Research, Finance, and Stock Loan among other departments. This is done by reviewing a numerous exceptions reports. In addition the trade surveillance ma...

NASDAQ Trading Desk Compliance Officer arrived 33 days ago from TheLadders.com

Jobs > New York, NY > nasdaq trading desk compliance officer > nasdaq trading desk compliance officer in New York, NY (9 jobs)

  1. NASDAQ Trading Desk Compliance Officer

    Financial Company | New York, NY

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    trading desks to ensure trading technology/trading... matters for trading areas of the firm, such as Annual Compliance Meetings and other Compliance training..

    NASDAQ Trading Desk Compliance Officer arrived 2 days ago from TheLadders.com

  2. Compliance Associate - Equities

    Major Investment firm | New York, NY

    Compliance division for Equity trading & Sales. Summary The role of the Divisional Compliance Officer... trading rules/regulations (NYSE, Nasdaq, Options..

    Compliance Associate - Equities arrived 12 days ago from TheLadders.com

  3. NASDAQ Trading Desk Compliance Officer

    financial company | New York, NY

    Responsibilities Include: * Advise applicable trading desk personnel and management with respect to Firm policy and procedures, relevant industry rules and regulations, and appropriate supervisory practices * Ensure relevant trading desks make approp ...

    NASDAQ Trading Desk Compliance Officer arrived Today from TheLadders

  4. NASDAQ Trading Desk Compliance Officer

    financial company | New York, NY

    Responsibilities Include: * Advise applicable trading desk personnel and management with respect to Firm policy and procedures, relevant industry rules and regulations, and appropriate supervisory practices * Ensure relevant trading desks make approp ...

    NASDAQ Trading Desk Compliance Officer arrived Today from Top USA Jobs

  6. Compliance Associate - Equities

    Major Investment Firm | New York, NY

    Summary The role of the Divisional Compliance Officer is to articulate and maintain the standards of conduct required of the Firm's businesses as well as the laws, regulations and policies governing these equity businesses in order to assist the Firm ...

    Compliance Associate - Equities arrived Today from TheLadders

  7. NASDAQ Trading Desk Compliance Officer

    Financial Company | New York, NY

    trading desks to ensure trading technology/trading... matters for trading areas of the firm, such as Annual Compliance Meetings and other Compliance training..

    NASDAQ Trading Desk Compliance Officer arrived Today from Employmentsource

  8. NASDAQ Trading Desk Compliance Officer

    Compliance Search | New York, NY

    trading desks to ensure trading technology/trading... matters for trading areas of the firm, such as Annual Compliance Meetings and other Compliance training..

    NASDAQ Trading Desk Compliance Officer arrived 15 days ago from Compliance Search

  9. Compliance Officer

    Trandon Associates, Inc. | New York, NY

    Officer National trading firm located in New York City is currently seeking a Compliance Officer for... to the firm's trading desk (listed, Nasdaq, risk..

    Compliance Officer arrived 4 days ago from HotJobs

  10. Compliance Officer

    Jersey City, NJ

    Code Compliance Officer Compliance Officer About the Job Compliance Officer National Trading Firm is seeking a Compliance Officer for our Trading..

    Compliance Officer arrived 12 days ago from Monster

View all 9 search results for Nasdaq trading desk compliance officer in New York, NY

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