- Citigroup (Getzville, NY)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Personal Trading & Outside Activities team responsible for assisting ... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice… more
- Truist (New York, NY)
- …to review alerts and investigate potential compliance issues. 2. Performs surveillance of trading activities to identify potential instances of market ... job description:** An independent team within CIB - Sales, Trading and Research that supports the Surveillance ...Surveillance program within CIB. The team performs trade surveillance activities, working with traders, compliance , and… more
- Bloomberg (New York, NY)
- SEF Compliance Surveillance Lead and Advisory ...The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; ... + A minimum of 7 years' derivatives, swaps and/or commodities products compliance + Experience conducting trade surveillance , real-time market monitoring and… more
- Insight Global (Salt Lake City, UT)
- …large financial client of ours. This group sits within the Financial Crime Compliance Group, a centralized surveillance function within the Global Compliance ... of firmwide trading policies through established advanced technology-based trading surveillances. Market Surveillance focuses on establishing surveillances… more
- Citigroup (Jersey City, NJ)
- 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
- Citigroup (Jersey City, NJ)
- 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
- Mizuho Corporate Bank (New York, NY)
- …The individual will be joining the Compliance Surveillance team. The surveillance team is responsible for monitoring trading in all asset classes, to ... (CAT), and FINRA TRAQS (ORF & TRACE) Knowledge of best practices, and surveillance procedures of securities industry compliance reviews Strong organizational and… more
- Bank of America (New York, NY)
- Director, Trade Surveillance Alert Reviewers - Central Trade Surveillance New York, New York;Charlotte, North Carolina **Job Description:** The Global Markets ... control infrastructure relating to non-financial risk, including but not limited to compliance with regulatory rules and guidance as well as operational controls in… more
- Santander US (New York, NY)
- Vice President, Compliance - Trade Surveillance New York, United States of America This Trade Surveillance role is an integral part of the Santander US CIB ... trading , front running, wash sales, spoofing, marking-the-close) or non- compliance with firm policy. Essential Functions/Responsibility Statements: + Reviews… more
- JPMorgan Chase (New York, NY)
- …As the Surveillance Data and Innovation Product Lead in the Global Compliance Surveillance Program team, you will be responsible for managing key products ... within CCOR's Global Compliance Trade and Electronic Communications Surveillance Program....Surveillance analyst or product role, or working with trading data. + Experience with the implementation of data… more
- Marex (New York, NY)
- …more information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Surveillance Compliance officer to join their team in New York. ... Reduce the quantity of False Positives without decreasing True Positives. + Provide Surveillance expertise to BD and FCM Advisory Compliance , adding context and… 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 , outside activities surveillance , and… more
- Mizuho Corporate Bank (New York, NY)
- …governing the securities and banking industries, as well as internal firm policy. The Compliance Surveillance team works closely with the other teams within ... Compliance , Legal and Information technology. Team members have the...and conduct training. Essential Duties and Responsibilities: + Utilize surveillance systems to review communications for content, appropriateness, regulatory… more
- Bank of America (Charlotte, NC)
- …+ Underwriting **Minimum Education Requirement:** Null Job Description: The Sr Trade Surveillance lead, in collaboration with Risk and Compliance officers, ... expert in his or her area of expertise for Compliance and Operational Risk. The Sr Trade Surveillance...Options. * Front office or middle office experience, or trading related experience * Experience using surveillance … more
- Bank of America (New York, NY)
- …and design of the scripts used to review the alerts. The Trade Surveillance analyst collaborates with Compliance and Operational Risk on the identification ... managers as needed. This role works closely with Risk, Compliance , and SMEs to conduct trade Surveillance ....Options. * Front office or middle office experience, or trading related experience * Experience using surveillance … more
- JPMorgan Chase (Plano, TX)
- …teams, contractors, and vendors + Leads the design and development of trade surveillance software solutions that monitor and analyze trading activities for signs ... for trade surveillance products, ensuring alignment with business goals and compliance standards + Ensures rigorous quality control and compliance with both… more
- Bank of America (New York, NY)
- …Identify improvements in venue and product coverage by comparing transactional data from trading systems to surveillance alert generation. + Serve as technical ... Compliance & Op Risk Manager - EQ/Futures New...surveillance matters. + Participate with the front-office in trading venue onboarding in order to ensure that … 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 a Compliance ...mitigating controls pertaining to the Firm's Cash Equities Electronic Trading businesses. The role requires deep expertise of the… more
- Bank of America (New York, NY)
- …inspecting and appropriately delegating team work. **Skills:** + Advisory + Monitoring, Surveillance , and Testing + Regulatory Compliance + Reporting + Risk ... Compliance and Operational Risk Manager New York, New...Communications **Job Description Summary:** Coordinated risk oversight of electronic trading for FICC, Equities and/or Futures and Options flows… more
- Morgan Stanley (New York, NY)
- …and Asia. Primary Responsibilities Planning, preparing, and executing regulatory and compliance -based reviews for Sales & Trading , Commodities, Futures, Prime ... Profile Professionals within the Non-Financial Risk (NFR) Department of the Legal and Compliance Division provide a wide range of services to our business units.… more