- Truist (Charlotte, NC)
- … business unit and/or functions. 4. Take lead of the Fixed Income Sales & Trading Surveillance function within the Compliance team which includes but not ... directing compliance risk oversight of Sales & Trading business units such as electronic communication surveillance... Trading business units such as electronic communication surveillance , and trading surveillance to… more
- Citigroup (Getzville, NY)
- Serves as a compliance risk manager 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 , and information barrier surveillance . This… more
- BP Americas, Inc. (Omaha, NE)
- …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 ... The position is responsible for executing the E&C T&S compliance framework by performing surveillance of business...& marketing business. The purpose of the Ethics & Compliance - Trading & Shipping function is… more
- BP Americas, Inc. (Chicago, IL)
- …too. Together we continue to grow as the world's leading energy company! The Commodity Trading Compliance Manager is a key member of the Ethics & Compliance ... BP this role will be instrumental in executing the compliance framework by ensuring the surveillance program... compliance requirements and bp's policies related to trading compliance , including on all relevant financial… more
- ExxonMobil (Spring, TX)
- …monitoring and surveillance techniques based on changes to the business's trading activity and/or the latest rules and regulations * Ensure existing requirements ... * Compliance experience in futures, financial and physical commodities trading * Working knowledge of commodity regulations/reporting * Experience with risk… 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
- Citigroup (Jersey City, NJ)
- Serves as a compliance testing officer for Independent Compliance Risk Management (ICRM)'s Independent Assessment team responsible for assessing significant ... compliance risks and controls implemented by the first and...effectiveness testing, transactional access segregation of duties, transactional testing, surveillance systems, and reporting activities + Understanding of rules,… more
- JPMorgan Chase (Jersey City, NJ)
- …the box, challenging the status quo and striving to be best-in-class. As a Compliance , Conduct and Operational Risk (CCOR) - Surveillance Lead (Fixed Income ... behavior. You will work closely with Line of Business management and LOB Compliance stakeholders, as well as global/regional Surveillance teams, to promote our… more
- Citigroup (Getzville, NY)
- The Compliance Surveillance Senior Analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team is responsible for the oversight for ... related portfolios including trade surveillance , e-communications, and voice surveillance , employee trading , outside activities surveillance , information… more
- TD Bank (New York, NY)
- …as needed, and providing advice and support, as required. Within the Global Compliance Department, the Global Surveillance Team is responsible for conducting ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $120,000 - $250,000 USD TD is...surveillance of communications and trading as it relates the market manipulation, collusion and… more
- Citigroup (Jersey City, NJ)
- …Banking business, Sales & Trading , Trade and Order Life Cycle(s), and Compliance / Surveillance Controls is preferable. + Address Data Quality (DQ) issues from ... Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and… more
- SMBC (Jersey City, NJ)
- …portfolio of benefits to its employees. **Role Description** The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer ... activities of SMBC Group and reports on the compliance risks and issues to SMBC and the Global...and risks of the KYC Department. The CPAD Market Surveillance team performs centralized trade surveillance for… 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 ... controls' design and execution consistency and cluster-specific relevancy. The ICRM Global Surveillance and Employee Compliance program encompasses a number of… more
- Mizuho Corporate Bank (New York, NY)
- The Compliance function manages compliance and regulatory risk by establishing compliance policies, providing training, conducting compliance reviews, ... and coordinating regulatory examinations and relations. Summary The AML Surveillance Associate is responsible for ensuring efficient identification and monitoring… 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
- Bank of America (New York, NY)
- …**Job Description:** This job is responsible for executing second line of defense compliance trade surveillance and operational risk oversight for a Front Line ... appropriately delegating team work. **Skills:** + Advisory + Monitoring, Surveillance , and Testing + Regulatory Compliance +...into surveillance systems. + Experience with Trade Surveillance systems, such as SMARTS, Actimize, Trading … more
- BMO Financial Group (New York, NY)
- …businesses, across two US broker-dealers. The role will include accountability for compliance advisory services, design and execution of surveillance activities, ... The US Capital Markets Compliance Team is seeking an Equities Compliance...controls pertaining to the Firm's Cash Equities & Electronic Trading businesses. The role requires deep expertise of the… more
- Citigroup (Getzville, NY)
- …Associate Analyst serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, ... related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and… more
- CIBC (NY)
- …remediation of deficiencies identified internally or externally; 7) monitoring sales and trading activities to ensure compliance with CIBC policies and ... trading personnel as directed by Senior Swap Dealer Compliance ; + Ability to work independently with other...internal projects relating to the development and implementation of trading , trade surveillance , and trade reporting systems… more
- CIBC (New York, NY)
- …(https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing** The US Capital Markets Compliance Analyst is responsible for performing important surveillance ... of US broker-dealer regulatory trade reporting obligations + Performing electronic communications surveillance of US trading desk personnel to identify issues of… more