- TD Bank (New York, NY)
- …and providing advice and support, as required. **Job Details:** The Head of Compliance , Trade Surveillance and Communications, TDS (US) reports to the ... TDBG VP, Compliance Trade Surveillance . **Individual Accountabilities:** * Lead a team of compliance professionals responsible for overseeing, reviewing… more
- Wells Fargo (New York, NY)
- …and its Global Payments Services, Mortgage Servicing, FCM, and Prime Services businesses. The Head of Trade Surveillance Subject Matter Experts (SMEs) will ... report to the Global Head of Trade Surveillance and...management, COOs, Business Control Managers and partner functions (eg, Compliance , Risk, Operations, Technology, and Legal). In this role… more
- SMBC (Jersey City, NJ)
- …AML 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
- 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 ... at the required cadence + Improving and routinely prepare compliance management information for use by the Head...than 65 countries across the globe. Since our first trade in 1998, we have helped transform and electronify… more
- Scotiabank (New York, NY)
- …Internal Control governance framework is preferred including understanding of Supervision, Surveillance & Monitoring, Trade Floor Supervision, Risk and Control ... presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas and the world. Global Banking &… more