- Truist (Atlanta, GA)
- … 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
- 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
- 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 (Getzville, NY)
- Serves as a compliance risk officer 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
- 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
- TD Bank (New York, NY)
- …details for this role. **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: $65,000 - $75,00 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
- 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
- Aramco Services Company (Houston, TX)
- …the Director of Compliance with developing and executing the overall Trading Compliance strategy, which includes helping with: + Identifying and evaluating ... Overview: We are seeking a skilled and detail-oriented Trade Compliance Manager to oversee our energy commodity surveillance...of ten (10) years professional experience + Experience in compliance , trading , risk control, or trading… 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
- Scotiabank (New York, NY)
- …Charge (OIC) and leads the planning, execution and reporting of Global trade surveillance Compliance Audit by assessing the control effectiveness and Bank's ... improve the control environment. + Assess the effectiveness of the bank's trade surveillance compliance program through an effective challenge of market abuse… 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
- Bank of America (Jersey City, NJ)
- …+ Monitoring, Surveillance , and Testing + Process Management + Regulatory Compliance + Reporting + Risk Management + Attention to Detail + Critical Thinking ... Compliance & Operational Risk Specialist Jersey City, New...constantly improving the effectiveness and efficiency of the Trade Surveillance Program. The team conducts this responsibility by executing… more
- Tradeweb (New York, NY)
- …of the compliance program such as, Personal Account Dealings, Training, Surveillance and monthly reporting to senior management. Depending on any subject matter ... electronic trading . Tradeweb Markets LLC ("Tradeweb") is proud to be an EEO Minorities/Females/Protected Veterans/Disabled/Affirmative Action Employer. https://www.dol.gov/ofccp/regs/ compliance… more
- Morgan Stanley (New York, NY)
- …exception reports on a daily basis and maintain records of reviews. Liaise with Compliance Surveillance teams to review escalations and assist in the disposition ... one (1) year of experience with: equity products and services, and documenting trading activity in trade surveillance and trade monitoring platforms to help… more
- Scotiabank (New York, NY)
- …financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange ... design and operating effectiveness of internal controls relating to wholesale bank and trading operations and internal control within the US This Manager's role will… more
- Bank of America (Charlotte, NC)
- …areas - Trading , Consumer Banking, Wealth Management, Transaction Banking, Compliance Surveillance . Understanding of algorithmic trading , their ... Trend Analysis **QUALIFICATIONS** . 4+ years of experience in global markets related to trading , controls, regulations or surveillance in one or more of these… more
- BlackRock (New York, NY)
- **About this role** **_Summary:_** The Americas Advisory Compliance team is seeking an experienced, self-motivated compliance professional to support, maintain, ... and enhance BlackRock's various information barrier compliance programs. The information barrier compliance programs are critical to BlackRock's business… more
- Siebert Williams Shank (New York, NY)
- … compliance efforts related to supervisory oversight, training, e-mail surveillance , branch office exams, FINRA licensing and registrations, anti-money laundering ... broker/dealer) is seeking to add a knowledgeable, driven, intellectually curious and experienced compliance professional to the team led by the Chief Compliance … more
- Capital One (New York, NY)
- NYC 299 Park Avenue (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance Advisor Senior Manager will report ... directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA registered broker dealers and provide … more