- JPMorgan Chase (Jersey City, NJ)
- …**Required qualifications, capabilities, and skills** + Bachelor's Degree + 3+ years of Trade Surveillance or other compliance , regulatory, or related ... status quo, and striving to be best-in-class. As a Surveillance Lead Vice President within the North...President within the North America and Latin America Swaps Trade Surveillance team, you will play a… more
- TD Bank (New York, NY)
- …work experience + 5-7 Years of related experience working with Fixed Income products in Compliance trade surveillance , trade settlements, or a trading ... Compliance Officer) to join the new Fixed Income Trade Surveillance team. Preferred 3-5 years of...+ Individual contributor role providing specialized expertise or may lead a small team of specialists + Considered a… more
- ManpowerGroup (New York, NY)
- Our client, a leading financial services organization, is seeking a Trade Surveillance Fixed Income (Senior / Lead Level) to join their team. As a Trade ... which will align successfully within the organization. **Job Title:** Trade Surveillance Fixed Income (Senior / Lead Level) **Location: New York, NY**… more
- TD Bank (New York, NY)
- …mechanisms for senior management. + Stakeholder Engagement: Serve as primary contact to Trade Surveillance teams, CDO, Compliance Technology, and Front ... Compliance team is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This...will have deep expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at… more
- Capital One (New York, NY)
- …Manager (Broker-Dealer & Swap Dealer) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and enhance the firm's ... **Preferred Qualifications** + Advanced degree + 6+ years of trade surveillance , market regulation, or 6+ years compliance experience within a Broker-Dealer… more
- Scotiabank (New York, NY)
- …internal policies. The successful candidate will leverage their expertise to lead compliance audits for trade surveillance to identify potential market ... Charge (OIC) and leads the planning, execution and reporting of Global trade surveillance Compliance Audit by assessing the control effectiveness and Bank's… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to join the Corporate & Investment Banking (CIB) Compliance organization within ... Global Surveillance Oversight. The CIB Compliance organization serves as the second line and is...oversight, monitoring and effective challenge of the front-line CIB trade and communications surveillance programs in line… more
- TD Bank (New York, NY)
- …This role requires experience within the financial services industry, specifically in compliance , trade surveillance and/or capital markets domains including ... languages, databases, and development frameworks. . Knowledge of financial industry trade surveillance , market abuse monitoring and/or global markets domain… more
- Deloitte (Princeton, NJ)
- …more of the following areas - Trade surveillance , communications surveillance , control room / information barriers compliance , or 1 st line ... supporting systems for either trade surveillance , communications surveillance , control room/information barriers, employee compliance + Strong technical… more
- JPMorgan Chase (Jersey City, NJ)
- …through advanced data management and market surveillance . As a Data Owner Lead , you'll shape the future of data-driven compliance and operational resilience, ... collaborating with experts across technology, analytics, and compliance . Your leadership will ensure our data is a...firm's data and analytics journey. As a Data Owner Lead in the Market Surveillance (Transactions &… more
- Wells Fargo (Iselin, NJ)
- …this role:** Wells Fargo is seeking a Surveillance Engineering Manager to lead the modernization of trade surveillance platforms across asset classes ... platform scalability and integration with vendor/in-house systems (eg, Actimize, Protegent Trade Compliance , Nasdaq SMARTS, TradingHub). + Champion Agile and… more
- JPMorgan Chase (Tampa, FL)
- …capabilities, and skills** + 3+ years of experience in a Trade Surveillance or Global Financial Crimes Compliance testing role. JPMorganChase, one of the ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...standards, and procedures. **Job Responsibilities** + Research, plan, and lead detailed reviews, in accordance with the CCOR Testing… more
- SMBC (Jersey City, NJ)
- … Department is seeking a highly skilled Executive Director, Head of Communications Surveillance to lead and enhance its communications surveillance framework ... regulatory changes and business needs, ensuring a robust and effective communications surveillance program. **Role Objectives** + Lead and manage the… more
- TD Bank (New York, NY)
- …across broker-dealers and swap dealers and draft relevant content + Act as a Compliance lead in relevant remediation projects, which will include: + conducting ... behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding… more
- CHS Inc. (Inver Grove Heights, MN)
- …will lead the development, governance and administration of trading compliance and new product risk management activities across the CHS enterprise (including ... but not limited to derivatives, physical commodities, trade and structured finance, and credit compliance ). This role is an essential component in risk control… more
- AeroVironment (Simi Valley, CA)
- …**Job Description** AV is seeking an experienced **Enterprise Applications Lead (Finance)** to oversee Fusion Finance Applications, including Cost Management, ... between Business Units (BU) and DBT (Digital Business Technology), and lead key strategic initiatives that strengthen and evolve AV's application ecosystem.… more
- SLAC National Accelerator Laboratory (Menlo Park, CA)
- …Subcontracts are awarded as a Firm Fixed Price. + Knowledge of market conditions, trade practices, sources and lead time. + Knowledge and experience with the ... Senior Procurement Specialist Team Lead (Construction) Job ID 6573 Location SLAC -...Department of Energy(DOE), and SLAC and stakeholder control and compliance requirements; advise management on procurement issues. + Develop… more
- SMBC (New York, NY)
- …+ Compliance Training + Issues Management + Monitoring & Testing + Compliance Risk Assessment + Communications and Transaction Surveillance + Employee ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...compliance matters. + Assist the Regulatory Governance Team Lead in coordinating the intake and responses to regulatory… more
- JPMorgan Chase (New York, NY)
- …industry especially in Operational Risk Management, Anti-Money Laundering & Know Your Customer, Trade Surveillance model development + Experience with EKS or AKS ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...on business requirements and objectives. + Demonstrated ability to lead and manage the implementation of AI/ML models in… more
- ExxonMobil (Spring, TX)
- **About us** At ExxonMobil, our vision is to lead in energy innovations that advance modern living and a net-zero future. As one of the world's largest publicly ... in Our Team** Join ExxonMobil as a Regulatory & Compliance Advisor. Become part of a team responsible for...these policies * Propose and implement new monitoring and surveillance techniques based on changes to the business's trading… more