- Wells Fargo (Charlotte, NC)
- …this role:** Wells Fargo is seeking a Senior Control Management Specialist - Trade Surveillance Governance. This Assistant Vice President will assist in key ... of risks and mitigating control solutions. The Assistant Vice President of Trade Surveillance Governance sits within the Trade Surveillance Team… more
- TD Bank (New York, NY)
- …The ideal candidate will have deep expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at a large investment ... Strategy: Develop and implement a robust data quality framework for trade surveillance , ensuring data integrity across multiple trading desks and asset classes.… more
- Capital One (New York, NY)
- Trade Surveillance Manager (Broker-Dealer & Swap Dealer) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and ... of surveillance procedures, scenarios, and parameter settings within the trade surveillance platform. + Ensure the surveillance program aligns with… more
- TD Bank (New York, NY)
- …for an Associate candidate (Senior Compliance Officer) to join the new Fixed Income Trade Surveillance team. Preferred 3-5 years of experience in trade ... members should participate in the discussion * Gain an understanding of new trade surveillance modules and surveillance tools * Keep current on emerging… more
- Scotiabank (New York, NY)
- Senior Audit Manager, Audit Department - Trade Surveillance **Requisition ID:** 246539 **Salary Range:** 120,900.00 - 231,400.00 _Please note that the Salary ... Audit Manager who is seasoned Compliance Auditor with significant experience in Trade Surveillance audits, focused on market abuse detection and prevention.… 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 ... Lead Level), you will be part of the CIB Control Management - Trade Surveillance team supporting the Bundle & Bid (Experis) engagement. The ideal candidate will… more
- ManpowerGroup (New York, NY)
- Our client, a leading financial services organization, is seeking a Trade Surveillance Multi-Asset (FI + Equities Focus) to join their team. As a Trade ... communication skills, which will align successfully in the organization. **Job Title:** Trade Surveillance Multi-Asset (FI + Equities Focus) **Location:** New… more
- JPMorgan Chase (Jersey City, NJ)
- …Surveillance Lead Vice President within the North America and Latin America Swaps Trade Surveillance team, you will play a pivotal role in overseeing ... capabilities, and skills** + Bachelor's Degree + 3+ years of Trade Surveillance or other compliance, regulatory, or related financial industry experience +… more
- TD Bank (New York, NY)
- …US Compliance team is looking for Vice President candidates to join the trade surveillance team, specializing in Fixed Income Products, Foreign Exchange and ... members should participate in the discussion + Gain an understanding of new trade surveillance modules and surveillance tools + Keep current on emerging… more
- Deloitte (Princeton, NJ)
- …+ Significant experience in one or more of the following areas - Trade surveillance , communications surveillance , control room / information barriers ... + Experience using, configuring, implementing, or supporting systems for either trade surveillance , communications surveillance , control room/information… more
- Wells Fargo (Iselin, NJ)
- …seeking a Surveillance Engineering Manager to lead the modernization of trade surveillance platforms across asset classes including equities, fixed income, ... requirements with each release + Define and execute Wells Fargo's surveillance technology strategy in alignment with compliance and supervisory mandates. +… more
- Wells Fargo (Charlotte, NC)
- …will:** + Provide oversight, monitoring and effective challenge of the front-line CIB trade and communications surveillance programs in line with federal, state, ... join the Corporate & Investment Banking (CIB) Compliance organization within Global Surveillance Oversight. The CIB Compliance organization serves as the second line… more
- Phillips 66 (Houston, TX)
- …Provide timely, accurate guidance on compliance and regulatory matters, conduct risk-based trade surveillance , and monitor trading activities to identify and ... the ability to collaborate effectively with cross-functional teams. + Experience using trade surveillance tools such as Nasdaq Trade Surveillance (NTS)… more
- TD Bank (New York, NY)
- …requires experience within the financial services industry, specifically in compliance, trade surveillance and/or capital markets domains including trading ... languages, databases, and development frameworks. . Knowledge of financial industry trade surveillance , market abuse monitoring and/or global markets domain… more
- Bank of America (Chicago, IL)
- …of surveillance and financial crime detection models, including trade surveillance , communications monitoring, and transaction monitoring systems - ... client onboarding, and complex transaction structures. + Knowledge of front-to-back trade flows and how trading desks, sales, operations, and compliance interact… more
- Wells Fargo (Charlotte, NC)
- …Control Management Specialist (VP) to join our Corporate and Investment Banking (CIB) Trade Surveillance team, with a dedicated focus on Customer Care ... Equity best execution standards and Customer Care obligation requirements. + Analyze trade lifecycle events and execution quality to identify gaps, anomalies, or… more
- SMBC (Charlotte, NC)
- …Technology group is responsible for supporting technology solutions that include trade and market surveillance , regulatory compliance, and internal metrics ... hands-on experience with Jira and Confluence. + Domain Expertise: Knowledge of trade /market surveillance and regulatory compliance frameworks. + Soft Skills:… more
- TD Bank (New York, NY)
- …behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding ... regulatory areas impacting products, behaviors and market participants. + Knowledge of trade and communications surveillance tools and vendors for detecting… more
- TD Bank (New York, NY)
- …behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding ... regulatory areas impacting products, behaviors and market participants. + Knowledge of trade and communications surveillance tools and vendors for detecting… more
- TD Bank (New York, NY)
- …behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding ... regulatory areas impacting products, behaviors and market participants. + Knowledge of trade and communications surveillance tools and vendors for detecting… more
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