Job Seekers, Welcome to CAIA Career Center
Search Filters
Use this area to filter your search results. Each filter option allows for multiple selections.
Search Results: 2348 Jobs
Create Alert
Loading... Please wait.
State Street Corporation

Luxembourg, Luxembourg

NEW! NEW!
Bank Of China (Hong Kong) Limited

Hong Kong,

NEW! NEW!
State Street Corporation

Quincy,

NEW! NEW!
PER, Private Equity Recruitment

London, United Kingdom

NEW! NEW!
NEW! NEW!
BNY Mellon

New York,

NEW! NEW!
BNY Mellon

New York,

NEW! NEW!
Selby Jennings

Manhattan,

NEW! NEW!
NEW! NEW!
Morgan Stanley

Glasgow, United Kingdom

NEW! NEW!
NEW! NEW!
Eames Consulting

Hong Kong,

NEW! NEW!
State Street Corporation

Riyadh, Saudi Arabia

NEW! NEW!
NEW! NEW!
Morgan Stanley

San Antonio,

NEW! NEW!
NEW! NEW!
NEW! NEW!
eFinancialCareers

Singapore, Singapore

NEW! NEW!
Morgan Stanley

New York,

NEW! NEW!
Loading... Please wait.
Compliance Associate - Trade Surveillance
Responsibilities: Perform pre-trade and post trade compliance monitoring to ensure the trades are in line with desk mandate restrictions guidelines. Work with CRO to maintain a compliance culture within the business. Evolving the framework of compliance monitoring and carrying out compliance monitoring activities to include call reviews, file reviews and thematic reviews based on risk assessment. Handle staff dealing approval, monitoring and review staff dealing-related reports Support disclosures of interest and other regulatory reporting and filing for the company. Support on licensing related matters and other regulatory filing and liaise with UK and EU regulators on their enquires.


This job listing is no longer active.

Check the left side of the screen for similar opportunities.
Loading. Please wait.