- Scotiabank (New York, NY)
- … Audit Manager who is seasoned Compliance Auditor with significant experience in Trade Surveillance audits, focused on market abuse detection and prevention. ... Senior Audit Manager, Compliance Audit (Non- AML )...will leverage their expertise to lead compliance audits for trade surveillance to identify potential market abuse… more
- SMBC (Jersey City, NJ)
- … 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
- MetLife (New York, NY)
- …of global compliance programs for MetLife businesses relating to Anti-Money Laundering ( AML ), Economic & Trade Sanctions and Anti-Bribery & Corruption (AB&C) ... efforts. Key Responsibilities: * Drive success within the Anti-Money Laundering ( AML ), Sanctions Compliance (SC) and Anti-Bribery & Corruption (AB&C) compliance… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... an important bridge to this key global market for trade and investment flows across the Americas and the...compliance. + Participate in the review of monitoring and surveillance routines and respond to alerts or issues from… more
- Citigroup (Irving, TX)
- …consult and advise Senior Management including, but not limited to, Compliance, AML , Sales Management. + Assist on ad-hoc projects as assigned by Management. + ... (including NY State Regulation 60 and FINRA Rule 2330), and provide pre- trade supervisory/principal approval of these transactions. In addition, the role holder will… more