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Trade Compliance Manager jobs in New York, NY

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TRADING COMPLIANCE MANAGER, VICE PRESIDENT, HYBRID

Coordinate with various internal and external constituents to ensure accurate trade and execution reporting to the SEC, FINRA and various SROs regarding applicable trade reporting requirements including TRACE, MSRB, and CAT. Impl...

CompanyState Street
AddressNew York, NY
CategoryInformation Technology
SalaryNot disclosed
Job typeFull time
Date Posted 3 weeks ago See detail

Trading Compliance Manager, Vice President, Hybrid

State Street

New York, NY

Not disclosed

Coordinate with various internal and external constituents to ensure accurate trade and execution reporting to the SEC, FINRA and various SROs regarding applicable trade reporting requirements including TRACE, MSRB, and CAT. Impl...

3 weeks ago seen See more...

Compliance Manager - Trading

Bp Energy

New York, NY

The position reports to the Senior Compliance Manager and is primarily responsible for performing surveillance of business activities, influencing culture, delivering training and providing guidance to the business to ensure compl...

3 days ago seen See more...

Compliance Manager - Trading

Pix11

New York, NY

The position reports to the Senior Compliance Manager and is primarily responsible for performing surveillance of business activities, influencing culture, delivering training and providing guidance to the business to ensure compl...

2 weeks ago seen See more...

Project Manager, Developer Compliance Operations New

Pix11

New York, NY

Keep our Platform safe from malicious apps by ensuring due diligence of our team and our vendor teams in detecting and taking action on non-compliant apps. Support on-call shifts to manage tasks and tickets assigned to our team. C...

5 hours ago seen See more...

Sr. Analyst, Trade Compliance - Coachtopia

Coach

New York, NY

All category classification and duty advisement, which can include product, visual merchandise, raw materials, and more. This includes ensuring classification system requirements are properly met from other teams such as product d...

6 days ago seen See more...

Financial Crimes Compliance - Manager - Consulting - Location Open

Ernst & Young Llp

New York, NY

Competitive

A bachelors degree and around 5 years of work experience with Financial Crimes issues from industry, consulting, or government; or a graduate degree and 4 years of related experience. A degree in political science, economics, fi...

6 days ago seen See more...

Facilities Compliance Manager

Columbia University

New York, NY

sick time

Job Type: Officer of Administration. Bargaining Unit:. Regular/Temporary: Regular. End Date if Temporary:. Hours Per Week:. Standard Work Schedule:. Building:. Salary Range: 80,795- 90,795. Works with Executive Director and Facili...

7 days ago seen See more...

Associate Program Compliance Manager

Publicis Groupe

New York, NY

Flexible time off, no accrual necessary. Generous amount of paid holidays. Company-sponsored team building events. Employee Referral Program. Annual recognition awards. Flexible work arrangements. Parental bonding leave. Back-up c...

a week ago seen See more...

Compliance Technical Product Manager, Email Marketing Technology (EMT)

Amazon

New York, NY

Develop and implement compliance strategies and processes for the email martech stack in accordance with relevant regulations such as GDPR, CAN-SPAM Act, CASL, and other applicable laws.2. Serve as a subject matter expert on email...

4 days ago seen See more...

Compliance & Privacy Manager

Good Inside

New York, NY

Is excited about Good Inside's mission and is passionate about improving the lives of parents and children. Has a bias toward action, values experimentation, and is more interested in finding the right answer than being right. Val...

4 days ago seen See more...

Senior Manager, HR Compliance - Americas Region

Mongodb

New York, NY

parental leave, paid time off, 401(k)

Formalize a regional Compliance (Policy, Training, Audits and ER) framework that includes recommendations on how to build a team around this role over time. Develop and implement an effective compliance program to ensure adherence...

4 days ago seen See more...

Manager - KYC Compliance Advisor

Capital One

New York, NY

Maintain subject matter expertise of applicable anti-money laundering laws and regulations and support business lines by providing guidance on KYC compliance requirements. Assist with establishing enterprise KYC standard/policy in...

a week ago seen See more...

Associate Manager (Go Trade+), Client Service Trade Support

Ss&C Technologies

New York, NY

Flexibility: Hybrid Work Model & a Business Casual Dress Code, including jeans. Your Future: 401k Matching Program, Professional Development Reimbursement. Work/Life Balance: Flexible Personal/Vacation Time Off, Sick Leave, Paid H...

a week ago seen See more...

Program Compliance Manager

Impact.com

New York, NY

$75,000 - $95,000 a year

Act as main compliance, client-facing point of contact for advertiser client and relevant agencies. Project manage and collaborate with international resources, ensuring client compliance SLAs are met. Decision quickly, escalating...

2 weeks ago seen See more...

Attorney Development Manager: Life Sciences (Patent, Licensing, Regulatory & Compliance)

Goodwin

New York, NY

We are in the business of building authentic, long-term relationships with our clients, who are some of the worlds most successful and innovative investors, entrepreneurs and disruptors in the Life Sciences, private equity, real...

a week ago seen See more...

Trade Planning Manager

The Coca-Cola Company

New York, NY

Manage trade spend and promotional budgets with RGM and sales leaders. Work with the Sales team to ensure promotion and trade spend funding is input in the Huddle.. Engage RGM managers to help ensure promotional spending is approv...

2 weeks ago seen See more...

Trade Show/Event Marketing Manager, 3P Global Events

Amazon Web Services, Inc.

New York, NY

From $64,500 a year

5+ years of professional non-internship marketing experience. Experience using data and metrics to drive improvements. Experience using Microsoft Excel to manipulate and analyze data. Experience building, executing and scaling cro...

2 weeks ago seen See more...

Attorney Licensure Compliance Manager

Kirkland & Ellis

New York, NY

As a member of the Risk Management Compliance team, the Attorney Licensing Compliance Manager will be leading the Firms U.S. bar admissions compliance program, which includes all U.S. state licensure and federal admissions.. Cont...

3 weeks ago seen See more...

Manager, Vendor Compliance

Amex

New York, NY

$90,000 - $165,000 a year

Work closely with CA&Cs Third Party Relationship Managers (TRMs), Global Supply Management (GSM), TLM Center of Excellence (TLM COE), Third party Information Security Team (TSM) and other subject matter risk experts to complete t...

3 weeks ago seen See more...

Trade Show/Event Marketing Manager, 3P Global Events

Amazon

New York, NY

Some of the shows supported by this team include Consumer Electronics Show (CES), National Retail Conference (NRF), Mobile World Congress (MWC), Dreamforce, Gartner Data & Analytics, and Gartner IT Symposium along with other event...

3 weeks ago seen See more...

Senior Compliance Officer - Control Room & Employee Trading (Hybrid - New York)

York State Department Of Labor

New York, NY

Develop policies, systems and controls for the administration of Control Room functions with particular focus on Employee Trading and related monitoring and surveillance. Assist in the implementation of the firm's watch and restri...

3 weeks ago seen See more...

LOGISTICS & COMPLIANCE MANAGER NORTH AMERICA (STICHD…

Puma

New York, NY

$74,500 - $105,960 a year

Bachelors Degree in Supply Chain or a related field required; or an equivalent combination of education and minimum experience of 5 years. High analytical ability and drive (analysis and visualization) to gather and interpret dat...

4 weeks ago seen See more...

Attorney, VP - Credit Trading Compliance

Blackstone

New York, NY

Manage confidential information within the Blackstone Credit & Insurance business, across Blackstone business units and externally, including information which potentially constitutes material non-public information ("MNPI") or de...

a month ago seen See more...

Attorney, AVP - Credit Trading Compliance

Blackstone

New York, NY

Manage confidential information within the Blackstone Credit & Insurance business, across Blackstone business units and externally, including information which potentially constitutes material non-public information ("MNPI") or de...

a month ago seen See more...

Senior Compliance Manager

Metaprise

New York, NY

$100,000 - $120,000 a year

Understanding of the current and evolving landscape of regulatory compliance and risk management for global financial technology companies Monitor developments in financial regulation and considers implications for compliance; off...

a month ago seen See more...

Senior Vice President, Trading Manager

Bny Mellon

New York, NY

Pricing, execution, and risk management for TBA trading across Conventional and GNMA MBS. Support and develop relationship with sales teams/client accounts to increase BNY Mellons footprint in MBS market. Develop and maintain rel...

a month ago seen See more...

Associate Program Compliance Manager

Publicis Groupe

New York, NY

Flexible time off, no accrual necessary. Generous amount of paid holidays. Company-sponsored team building events. Employee Referral Program. Annual recognition awards. Flexible work arrangements. Parental bonding leave. Back-up c...

a month ago seen See more...

Trading Compliance Intern

Otc Markets Group Inc

New York, NY

Assist the CCO in a variety of compliance related tasks. Review and analyze trading data and other data sets. Assist in maintaining certain documentation for compliance oversight data. Partner with the Chief Compliance Officer and...

2 months ago seen See more...

Employee Compliance Manager

Fanduel

New York, NY

$105,000 - $130,000 a year

Assist in developing and executing Employee Compliance policies, procedures, training, tool evaluation, governance, implementation, and enhancements, along with presentations to senior management. Lead implementation of a comprehe...

2 months ago seen See more...

Trading Compliance Analyst

Otc Markets Group Inc

New York, NY

Up to $100,000 a year

Review and analyze trading data and other data sets. Maintain documentation for Compliance oversight data. Partner with Chief Compliance Officer (CCO) in information gathering from multiple teams across the organization. Assist in...

2 months ago seen See more...

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