- 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 ... of reviews. + Creates/maintains/provides compliance metrics, as needed, relating to trade surveillance . + Responds to internal queries and work closely with… more
- Mizuho Corporate Bank (New York, NY)
- About the Role The individual will be joining the Compliance Surveillance team. The surveillance team is responsible for monitoring trading in all asset ... respond to alerts identified on the Firm's suite of Trade surveillance platforms. Assess the current ...TRAQS (ORF & TRACE) Knowledge of best practices, and surveillance procedures of securities industry compliance reviews… more
- JPMorgan Chase (New York, NY)
- …Surveillance Program team, you will manage key products under CCOR's Global Compliance Trade and Electronic Communications Surveillance Program. Your role ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...8+ years of related experience. + Experience in a Trade Surveillance analyst or product role, or… more
- Bank of America (New York, NY)
- …in development and design of the scripts used to review the alerts. The Trade Surveillance analyst collaborates with Compliance and Operational Risk on ... Trade Surveillance Analyst New York, New...with Risk, Compliance , and SMEs to conduct trade Surveillance . The Trade ...Compliance , and SMEs to conduct trade Surveillance . The Trade Surveillance analyst… more
- Bank of America (New York, NY)
- …**Minimum Education Requirement:** Null Job Description: The Sr Trade Surveillance lead, in collaboration with Risk and Compliance officers, ensures ... area of expertise for Compliance and Operational Risk. The Sr Trade Surveillance lead consults with compliance officers and operational risk to execute… more
- Wells Fargo (New York, NY)
- …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 will be responsible for...management, COOs, Business Control Managers and partner functions (eg, Compliance , Risk, Operations, Technology, and Legal). In this role… more
- Wells Fargo (New York, NY)
- …this role: Wells Fargo is seeking a Lead Control Management Officer within Commodities Trade Surveillance . Learn more about our career areas and lines of ... Global Payments Services, Mortgage Servicing, FCM, and Prime Services businesses. The Trade Surveillance Commodities Subject Matter Expert (SME) will report to… more
- Wells Fargo (New York, NY)
- …Global Payments Services, Mortgage Servicing, FCM, and Prime Services businesses. The Head of Trade Surveillance Governance will report to the Global Head of ... Trade Surveillance and will be responsible for...with COOs, Business Control Managers and partner functions (eg, Compliance , Risk, Operations, Technology, and Legal). In this role,… more
- Bank of America (New York, NY)
- 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 ... **Required Qualifications:** + 4-5 years' in audit or in a compliance /business controls/risk management role with specific experience/coverage of trading desk… 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. ... between Marex and regulatory bodies. Responsibilities: + Provide E-communications, Voice, and Trade Surveillance review services to US Broker-Dealer (BD) and FCM… more
- Wells Fargo (New York, NY)
- …Services businesses. The Data Assurance Director will report to the Global Head of Trade Surveillance and will be responsible for managing and enhancing all ... aspects related to Data Assurance within Trade Surveillance . This position will require extensive...Heads, COOs, Business Control Managers and partner functions (eg, Compliance , Data Management, Technology, Risk, Operations and Legal). In… more
- Morgan Stanley (New York, NY)
- …Investment Management is seeking an Associate to join its US Portfolio Surveillance /Investment Compliance team within the COO office. The successful candidate ... trading process. *Qualifications - External* * 3 - 5 years relevant portfolio surveillance /investment compliance and client servicing needs * Knowledge of … more
- SMBC (New York, NY)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... Description** Sumitomo Mitsui Banking Corporation is hiring an E-communications Surveillance Associate. This role is responsible for reviewing corporate electronic… more
- HSBC (New York, NY)
- …setting expectation to multiple businesses simultaneously + Responsible for attending to Compliance , Legal, Surveillance , and Business requests with the utmost ... **Description** Trade Floor Voice Subject Matter Expert Our purpose...planning, IT governance, and managing life cycle expectations In compliance with applicable laws, HSBC is committed to employing… more
- Bank of America (New York, NY)
- …+ Assist in the execution of regular and fundamental reviews of the firm's trade surveillance processes and procedures and implement changes where necessary; + ... Compliance & Op Risk Manager - EQ/Futures New York,...Help to drive the firm's trade surveillance change program; + Assist with the monitoring of current… more
- Bank of America (New York, NY)
- …derivatives + Understanding of compliance program elements such as risk assessments, trade surveillance and policy management. + Familiarity with trade ... Equities Compliance and Operational Risk Manager New York, New...job is responsible for executing second line of defense compliance and operational risk oversight for a Front Line… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... an important bridge to this key global market for trade and investment flows across the Americas and the...the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and… more
- SMBC (New York, NY)
- …appropriate training materials and conducting trainings, as required. + Coordinate with Compliance surveillance and testing teams, including by reviewing ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...the infrastructure advisory team and partner with the overall compliance team and management in communicating the company's culture… more
- Bank of America (New York, NY)
- Compliance and Operational Risk Manager- Control Room Charlotte, North Carolina;New York, New York **Job Description:** At Bank of America, we are guided by a common ... **Job Description:** This job is responsible for the execution of the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy and… more
- CIBC (New York, NY)
- …visit CIBC.com (https://www.cibc.com/en/about-cibc.html) The Senior US Equity Derivatives Compliance Officer is responsible for: 1) administering CIBC's policies ... Markets Equities and Equity Derivatives businesses; (2) taking reasonable steps to ensure compliance with all SEC, FINRA, and all other relevant SRO (eg Cboe)… more