We apologize for the inconvenience but the job you are looking for has been filled or it has been removed by the recruiter. For your reference, the original listing is shown at the bottom of this page.
Listed below are the top 10 out of 267 listings that are in the same industry and location as the job you were looking for. To see more than 10 listings, click here to search similar jobs in New York, NY
Toptier financial services firm is looking for a Compliance or related professional preferably with AntiMoney Laundering experience. The Compliance Project ...
Our client is an international toptier hedge fund with in excess of $10 billion under management. The legal assistant will support the General Counsel and ...
Toptier financial services firm is seeking a Compliance AVP for their Flagship Branch Office. They will play a critical role in the assurances of Sales Practice ...
Out client is a diversified asset management firm offering institutional money management, mutual funds, hedge funds and alternative investments. The role will ...
Toptier Financial Services firm is seeking a Bank Regulatory Compliance officer. Responsibilities include: Assisting in the management of bank examinations ...
Our client, a top global Financial Services firm, is seeking a VP to join their AssetBacked Commercial Paper group to serve in a conduit management capacity. ...
Our client, a top international Banking firm, is seeking a VP to join their AssetBacked Securities Origination / Structuring team based in NYC. Position Duties ...
The Wealth Management division of an investment bank seeks a Regional Compliance Officer responsible for the oversight of sales activities for four wealth management ...
Line of Service IFS Industry Not Applicable IFS State City NJJersey City Travel Requirements 020% Position TypeFull Time Auto req ID 17534BR PwC/LoS Overview ...
CIT seeks an Environmental Risk Officer who has experience with both environmental and appraisal due diligence in a regulated financial institution. As the ...
For your reference, we have included the original job posting below.
Compliance VP Securities Trade Monitoring
Job Number:
44160678
Company Name:
Confidential Company
Job Location:
New York, NY Us
Job Category:
Accounting & Finance
Salary:
DOE
Compliance VP Securities Trade Monitoring
Our client is a premier ratings agency seeking an experienced compliance professional to supervise the securities trade monitoring function for the company. The incumbent will be responsible for the surveillance of employee trading activity to identify and prevent conflicts of interest and the misuse of confidential information. The candidate will be responsible for managing all processes related to the firm’s Securities Trading Policy and assessing employee securities transactions and holdings for potential conflicts. He/she will also provide guidance on trading to Compliance and company stakeholders, manage restricted lists, review equity positions and provide assistance on research related matters.
Responsibilities:
Analyze specific actions/transactions and conduct pre- and post-trade analysis
Manage securities trade monitoring systems, processes and data gathering
Prepare reports for senior management regarding the status of monitoring of trade activities and investigations
Align securities trade monitoring with other ratings process surveillance efforts to prevent conflicts of interest and to monitor access to confidential information
Manage employee outreach and training for Securities Trading Policy and related processes
Provide advice and guidance to business and compliance teams on relevant coverage issues
Analyze business processes and eliminate or minimize the risk of breaches of regulatory requirements related to employee securities trading
Qualifications:
BA/BS required, JD/MBA preferred
7+ years experience in with securities trading monitoring systems and control room processes
Advanced knowledge in conflict management, information walls, market abuse, insider dealing, investment research and regulatory disclosure obligations.
Core understanding of variations in global laws and regulations
Working knowledge of systems, technology and databases
