- TD Bank (New York, NY)
- …and providing advice and support, as required. **Job Details:** The Head of Compliance , Trade Surveillance and Communications, TDS (US) reports to the ... through a period of change and growth in the Compliance Surveillance program, * Assisting with responses...* Create strategic focus and actively manage Communications and Trade Surveillance systems, policies, and procedures to… more
- SMBC (Jersey City, NJ)
- …AML oversees key processes and risks of the KYC Department. The CPAD Market Surveillance team performs centralized trade surveillance for the America's SMBC ... development initiatives. **Role Objectives** + Report to the Fixed Income Trade Surveillance Manager for day-to-day surveillance assignments; +… more
- Lowe's (Forsyth, IL)
- …and promptly communicates them to management and/or Asset Protection * Ensures compliance with housekeeping standards and programs (eg, Zone Recovery) to maintain ... phone, telephone, paging system, copiers, fax machines, computers, CCTV surveillance system, key cutter, panel saw, paint mixer, flooring...* 1 to 2 years of experience as a head cashier * 1 to 2 years of experience… more
- Tradeweb (New York, NY)
- …of the compliance program such as, Personal Account Dealings, Training, Surveillance and monthly reporting to senior management. Depending on any subject matter ... at the required cadence + Improving and routinely prepare compliance management information for use by the Head...than 65 countries across the globe. Since our first trade in 1998, we have helped transform and electronify… more
- SMBC (Jersey City, NJ)
- …to the FIU VP, the FIU Associate is responsible for the day-to-day compliance efforts related to transaction surveillance , including the completion of assigned ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...is responsible for the delegation and oversight of day-to-day compliance efforts related to transaction surveillance . This… more
- Scotiabank (New York, NY)
- …Internal Control governance framework is preferred including understanding of Supervision, Surveillance & Monitoring, Trade Floor Supervision, Risk and Control ... presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas and the world. Global Banking &… more
- Mizuho Corporate Bank (New York, NY)
- …The models include the customer risk rating, transaction monitoring, transaction filtering and trade surveillance . The director in the Modelling & Analytics will ... work as the deputy head of the function to build out best practices...in a simple and easy-to-understand manner + Experience with trade compliance models is a plus The… more
- Bristol Myers Squibb (Princeton, NJ)
- …partnership with QRM, the Insight Integrator will provide support for routine compliance surveillance activities. These activities aim to detect, monitor, ... compliance standards. . Represent the company on major trade organizations- for example PhRMA or EFPIA . Represent...to impact GPS operations. . In collaboration with the head of Corporate Quality, effectively communicate the outcomes of… more
- Lowe's (Phoenix, AZ)
- …and promptly communicates them to management and/or Asset Protection Ensures compliance with housekeeping standards and programs (eg, Zone Recovery) to maintain ... Zebra phone, telephone, paging system, copiers, fax machines, computers, CCTV surveillance system, key cutter, panel saw, paint mixer, flooring cutters, compacter… more