- Phillips 66 (Houston, TX)
- **Phillips 66 & YOU - Together we can fuel the future** The Commercial Trading Compliance department is a key part of the Phillips 66 Global Ethics & ... Global Commercial trading activities. Based in Houston, Texas, the **Commercial Trading Compliance ('CTC') Analyst (Gas and Power)** position, will primarily… more
- Phillips 66 (Houston, TX)
- …Together we can fuel the future** Based in Houston, Texas, the C **ommercial Trading Compliance ('CTC'), Senior Analyst (Crude and Refined Products)** role, will ... Phillips 66's Commercial Crude and Refined physical and commodity derivative trading activities, including providing timely and accurate compliance and… more
- BP Americas, Inc. (Houston, TX)
- …energy company! The Compliance Manager is a key member of the Ethics & Compliance ("E&C") team supporting Trading & Shipping's ("T&S") Gas & Power Trading ... Compliance Manager and is primarily responsible for performing surveillance of business activities, influencing culture, delivering training and providing… more
- Bank of America (New York, NY)
- Compliance and Operational Risk Manager- Electronic Trading New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to help ... inspecting and appropriately delegating team work. **Skills:** + Advisory + Monitoring, Surveillance , and Testing + Regulatory Compliance + Reporting + Risk… more
- Pilot Company (Houston, TX)
- …KYC documentation including policies and procedures 9. Assist Manager, Trading Compliance with review of compliance surveillance alerts, while learning ... work covering financial crimes in US and Latin America strongly preferred + Trading compliance , risk assessment experience is a plus. + Spanish is desired but… more
- Truist (Charlotte, NC)
- …Markets business units such as electronic communication surveillance , control room surveillance , and sales and trading surveillance to detect issues ... with oversight monitoring and surveillance strategies. 7. Conduct Capital Markets Surveillance activities for the Fixed Income trading desks and Regulation W… more
- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Trade Surveillance team responsible for the design, ... related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and… more
- Citigroup (Jersey City, NJ)
- The senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team is responsible for the oversight for surveillance ... related portfolios including trade surveillance , e-communications, and voice surveillance , employee trading , outside activities surveillance , and… more
- Bank of America (New York, NY)
- Compliance and Operational Risk Manager - Trade Surveillance New York, New York;Charlotte, North Carolina **Job Description:** At Bank of America, we are guided ... to area(s) of coverage **Skills:** + Advisory + Monitoring, Surveillance , and Testing + Regulatory Compliance +...into surveillance systems. + Experience with Trade Surveillance systems, such as SMARTS, Actimize, Trading … more
- Citigroup (Getzville, NY)
- Serves as a compliance risk senior analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, ... related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and… more
- TD Bank (New York, NY)
- …Technology Solutions **Job Description:** Java Developer/Engineer as part of the Compliance , Surveillance & Supervision Product Technology team. The team ... is responsible for providing technology solutions for the Compliance , Surveillance & Supervisory product group which...experience of either NICE Actimize Platform or other AML surveillance vendor solutions or SMARTS/ Trading Hub or… more
- Atria Wealth Solutions (San Diego, CA)
- …+ Fully Remote - USA Compensation: 36,000 - 40,000 POSITION SUMMARY: The Compliance Surveillance Analyst will perform the assigned functions, as outlined below, ... collaboration across the enterprise + Conduct other related tasks to support compliance surveillance , monitoring and testing EDUCATION, SKILLS, AND EXPERIENCE: +… more
- JPMorgan Chase (Plano, TX)
- …teams, contractors, and vendors + Leads the design and development of trade surveillance software solutions that monitor and analyze trading activities for signs ... for trade surveillance products, ensuring alignment with business goals and compliance standards + Ensures rigorous quality control and compliance with both… more
- Robert Half Management Resources (New York, NY)
- …maker in OTC equities seeking a consultant to help on a trade surveillance lookback for OTC equities. Successful candidate will be supporting trade surveillance ... Requirements Some key qualifications are: . Experience with equity trading in a first or second line function, specifically.... 3-5 years experience in financial markets . Regulatory compliance experience a plus . Experience with Bloomberg needed… more
- Bank of America (New York, NY)
- … compliance /business controls/risk management role with specific experience/coverage of trading desk activities across either Equities or Fixed Income, Currencies ... Audit Supervisor - Global Markets Trade Surveillance /Market Conduct New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to… more
- Scotiabank (New York, NY)
- …and leverage broader Bank relationships, systems, and knowledge. + Provide day-to-day compliance support for equities securities trading and sales businesses by ... procedures, to the businesses. + Communicate with sales and trading management and US Compliance personnel on.... + Participate in the review of monitoring and surveillance routines and respond to alerts or issues from… more
- Citigroup (Getzville, NY)
- Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and ... related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and… more
- US Tech Solutions (New York, NY)
- …reviews, some examples include Best Execution, Manning and Frontrunning; + Liaising with Compliance Surveillance teams to review escalations and assist in the ... disposition of market abuse surveillance alerts + Identifying, designing, testing, and implementing new...Skills Required:** + 2-5 years with a background in Compliance , Risk Management and / or Trading … more
- CIBC (New York, NY)
- …offerings and the maintenance of the existing regulatory program; + Providing ongoing Compliance advisory services to sales and trading personnel within US ... please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) The Senior US Equity Derivatives Compliance Officer is responsible for: 1) administering CIBC's policies… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Surveillance Intelligence Unit (SIU) within Independent Compliance Risk Management (ICRM)'s Surveillance and ... for the design, implementation, and oversight for controls and solutions supporting Surveillance , Employee Compliance and Control Room teams, designed to detect… more