Lead Compliance jobs in Bergen, NJ

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SEF COMPLIANCE SURVEILLANCE LEAD AND ADVISORY COMPLIANCE OFFICER - LEGAL & COMPLIANCE

Conduct trade surveillance monitoring, real-time market monitoring and investigations. Assess and interpret the relevance of applicable rules and regulations. Liaise with regulators, as well as BSEFs regulatory service provider....

CompanyBloomberg
AddressNew York, NY
CategoryInformation Technology
Date Posted 2 weeks ago See detail

SEF Compliance Surveillance Lead and Advisory Compliance Officer - Legal & Compliance

Bloomberg

New York, NY

Conduct trade surveillance monitoring, real-time market monitoring and investigations. Assess and interpret the relevance of applicable rules and regulations. Liaise with regulators, as well as BSEFs regulatory service provider....

Compliance and Regulatory Lead

Kohler

New York, NY

Secure US and select international regulatory authorization for health/wellness products Oversee maintenance of regulatory licenses, registrations and listings Work with commercial team to ensure advertising and promotions comply...