- 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 ... TDBG VP, Compliance Trade Surveillance . **Individual Accountabilities:** * Lead a team of compliance professionals responsible for overseeing, reviewing… more
- Wells Fargo (New York, NY)
- …and its Global Payments Services, Mortgage Servicing, FCM, and Prime Services businesses. The Head of Trade Surveillance Subject Matter Experts (SMEs) will ... report to the Global Head of Trade Surveillance and...management, COOs, Business Control Managers and partner functions (eg, Compliance , Risk, Operations, Technology, and Legal). In this role… 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
- HSBC (New York, NY)
- …issues with setting expectation to multiple businesses simultaneously + Respond to Compliance , Legal, Surveillance , and Business requests with the utmost ... that all of the voice recording systems are in compliance with HSBC internal standards as well as complying...to FIM Policy and Secondary Standards, ensuring that the Head of Trade Floor Infrastructure has a… more
- Lowe's (Tukwila, WA)
- …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 (White Plains, NY)
- …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
- City of New York (New York, NY)
- …organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent ... - Responsibilities will include coordinating and conducting space surveys to evaluate head count and utilization to ensure the lowest possible number of physical… more
- TD Bank (New York, NY)
- …applicability of Firm policies to trading and sales activities in coordination with Compliance or relevant Risk and Control teams. + Conduct First Line ... surveillance and business conduct reviews. + Compile management reporting on trade capture metrics, regulatory scorecards, policy exceptions and other ad hoc… more
- Lowe's (Moses Lake, WA)
- …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