Showing 1-10 of 82
Showing 1-10 of 82
Commodities compliance advisor jobs

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Interactive Brokers - Greenwich, CT

Senior Compliance Analyst. Handling regulatory inquiries from the SEC, FINRA, CFTC, and NFA concerning securities, commodities and derivatives trading and...

Interactive Brokers - Chicago, IL

The inquiries typically encompass information reporting, filing and compliance for US, Canadian and other foreign accounts....

Wells Fargo - Charlotte, NC

Option strategies, hedge funds, managed futures, commodities, private equity, private debt and private real estate offerings....

Interactive Brokers - Greenwich, CT

Broker, measured by trades, offering direct-access electronic trade execution and clearing for active traders, institutional investors, financial advisors and...

Interactive Brokers - Greenwich, CT

Compliance Analyst is assigned to act in a middle-office compliance position with respect to regulatory reporting of trades and positions....

State Street - Boston, MA

Understanding of the Commodities Exchange Act of 1934 and applicable rules and regulations and National Futures Association rules for Commodity Trading Advisers...

The Compliance Search Group - Newark, NJ

The compliance department is responsible for assessing these sub-advisers compliance programs. Advisors Compliance team also serves a center of excellence for...

Interactive Brokers - Greenwich, CT

Analyze and ensure compliance with all customer tax withholding and information reporting requirements worldwide....

DUFF AND PHELPS, LLC - New York, NY

Duff & Phelps is the premier global valuation and corporate finance advisor with expertise in complex valuation, disputes and investigations, M&A, restructuring...

OppenheimerFunds - New York, NY

Ability to work well with internal business partners and collaborate with colleagues across OFI’s legal and compliance departments....


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