- SMBC (New York, NY)
- …+ Compliance Training + Issues Management + Monitoring & Testing + Compliance Risk Assessment + Communications and Transaction Surveillance + Employee ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...compliance matters. + Assist the Regulatory Governance Team Lead in coordinating the intake and responses to regulatory… more
- JPMorgan Chase (Jersey City, NJ)
- …**Required qualifications, capabilities, and skills** + Bachelor's Degree + 3+ years of Trade Surveillance or other compliance , regulatory, or related ... status quo, and striving to be best-in-class. As a Surveillance Lead Vice President within the North...President within the North America and Latin America Swaps Trade Surveillance team, you will play a… more
- TD Bank (New York, NY)
- …work experience + 5-7 Years of related experience working with Fixed Income products in Compliance trade surveillance , trade settlements, or a trading ... Compliance Officer) to join the new Fixed Income Trade Surveillance team. Preferred 3-5 years of...+ Individual contributor role providing specialized expertise or may lead a small team of specialists + Considered a… more
- ManpowerGroup (New York, NY)
- Our client, a leading financial services organization, is seeking a Trade Surveillance Fixed Income (Senior / Lead Level) to join their team. As a Trade ... which will align successfully within the organization. **Job Title:** Trade Surveillance Fixed Income (Senior / Lead Level) **Location: New York, NY**… more
- Bank of America (New York, NY)
- Compliance & Operational Risk Specialist - Trade Surveillance Charlotte, North Carolina;New York, New York **To proceed with your application, you must be at ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Charlotte/ Compliance Operational-Risk-Specialist Trade - Surveillance \_25040545-2) **Job Description:**… more
- TD Bank (New York, NY)
- …mechanisms for senior management. + Stakeholder Engagement: Serve as primary contact to Trade Surveillance teams, CDO, Compliance Technology, and Front ... Compliance team is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This...will have deep expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at… more
- Capital One (New York, NY)
- …Manager (Broker-Dealer & Swap Dealer) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and enhance the firm's ... **Preferred Qualifications** + Advanced degree + 6+ years of trade surveillance , market regulation, or 6+ years compliance experience within a Broker-Dealer… more
- Scotiabank (New York, NY)
- …internal policies. The successful candidate will leverage their expertise to lead compliance audits for trade surveillance to identify potential market ... Charge (OIC) and leads the planning, execution and reporting of Global trade surveillance Compliance Audit by assessing the control effectiveness and Bank's… more
- TD Bank (New York, NY)
- …This role requires experience within the financial services industry, specifically in compliance , trade surveillance and/or capital markets domains including ... languages, databases, and development frameworks. . Knowledge of financial industry trade surveillance , market abuse monitoring and/or global markets domain… more
- JPMorgan Chase (Jersey City, NJ)
- …through advanced data management and market surveillance . As a Data Owner Lead , you'll shape the future of data-driven compliance and operational resilience, ... collaborating with experts across technology, analytics, and compliance . Your leadership will ensure our data is a...firm's data and analytics journey. As a Data Owner Lead in the Market Surveillance (Transactions &… more
- Deloitte (New York, NY)
- …more of the following areas - Trade surveillance , communications surveillance , control room / information barriers compliance , or 1 st line ... supporting systems for either trade surveillance , communications surveillance , control room/information barriers, employee compliance + Strong technical… more
- SMBC (Jersey City, NJ)
- … Department is seeking a highly skilled Executive Director, Head of Communications Surveillance to lead and enhance its communications surveillance framework ... regulatory changes and business needs, ensuring a robust and effective communications surveillance program. **Role Objectives** + Lead and manage the… more
- TD Bank (New York, NY)
- …across broker-dealers and swap dealers and draft relevant content + Act as a Compliance lead in relevant remediation projects, which will include: + conducting ... behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding… more
- JPMorgan Chase (New York, NY)
- …industry especially in Operational Risk Management, Anti-Money Laundering & Know Your Customer, Trade Surveillance model development + Experience with EKS or AKS ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...on business requirements and objectives. + Demonstrated ability to lead and manage the implementation of AI/ML models in… more
- SMBC (Jersey City, NJ)
- …to the FIU VP, the FIU Associate is responsible for the day-to-day compliance efforts related to transaction surveillance , including the completion of assigned ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...is responsible for the delegation and oversight of day-to-day compliance efforts related to transaction surveillance . This… more
- Bloomberg (New York, NY)
- …our offerings and enhancing VAULT to meet the scale and complexity of modern compliance workflows. What We Build: + Communications surveillance + Archival and ... global enterprises. Thousands of organizations depend on VAULT to manage compliance across Bloomberg Message, Instant Bloomberg, Email, Messaging, Mobile, Files,… more
- Pixalate, Inc. (New York, NY)
- …Area, Hybrid Pixalate offers the market-leading fraud protection, privacy, and compliance analytics platform for Connected TV (CTV), Mobile Apps, and Websites.Our ... platform has been used to unearth multiple high-profile criminal and illegal surveillance cases, including: + Gizmodo: An iCloud Feature Is Enabling a $65 Million… more
- Pixalate, Inc. (New York, NY)
- …and data have been used to unearth multiple high-profile criminal and illegal surveillance cases, including: + Gizmodo: An iCloud Feature Is Enabling a $65 Million ... industry approaches quality and safety through our ratings, risk assessment, compliance , and fraud prevention technology. Overview Pixalate is hiring an… more
