More jobs:
Compliance Analyst, Finance & Banking
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-01-27
Listing for:
Partnership Employment
Full Time
position Listed on 2026-01-27
Job specializations:
-
Finance & Banking
Financial Compliance, Regulatory Compliance Specialist, Risk Manager/Analyst, Banking Operations
Job Description & How to Apply Below
- Support the compliance team in overseeing governance and implementation of companies policies and procedures, written supervisory procedures, and related documentation.
- Support the compliance team in responding to NFA, CFTC, Exchange, internal and other external exams, audits, reports and regulatory requests.
- Conduct surveillance of potential violations of Exchange rules and CFTC prohibited trading practices by assessing order and trading activity alerts.
- Assist Operations in the implementation and monitoring of surveillance systems alert rules.
- Assist with the creation, development, and review of surveillance rules, alerts and procedures.
- Identify and investigate regulatory issues that arise from customer activity.
To View & Apply for jobs on this site that accept applications from your location or country, tap the button below to make a Search.
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
(If this job is in fact in your jurisdiction, then you may be using a Proxy or VPN to access this site, and to progress further, you should change your connectivity to another mobile device or PC).
Search for further Jobs Here:
×