- TD Bank (New York, NY)
- … Compliance team is looking for Vice President candidates to join the trade surveillance team, specializing in Fixed Income Products, Foreign Exchange and ... of issues + Network with other colleagues in Global Surveillance and the wider Compliance teams and...in the discussion + Gain an understanding of new trade surveillance modules and surveillance … more
- TD Bank (New York, NY)
- …regulatory compliance by developing and maintaining a comprehensive Trade Surveillance program, including identifying emerging risks, regulatory developments ... This position will focus on the trade surveillance portfolio and related initiatives. The VP Compliance...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Capital One (New York, NY)
- Trade Surveillance Manager (Broker-Dealer...Advanced degree + 6+ years of trade surveillance , market regulation, or 6+ years compliance ... **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead...efforts. **Leadership & Collaboration** + Manage, train, and develop surveillance analysts, fostering a culture of compliance ,… more
- TD Bank (New York, NY)
- …is looking for an Associate candidate (Senior Compliance Officer) to join the new Trade Surveillance team. Preferred 3-5 years of experience in trade ... of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and...in the discussion * Gain an understanding of new trade surveillance modules and surveillance … more
- TD Bank (New York, NY)
- … team is looking for Vice President to join the Trade Surveillance team focused on Communications. The VP Compliance TDS oversees/leads a team(s) ... of issues + Network with other colleagues in Global Surveillance and the wider Compliance teams and...have regular career, development, and performance conversations with your manager , as well as access to an online learning… 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 ... The ideal candidate will have deep expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at a large investment… more
- Citigroup (New York, NY)
- …Non-Financial Risk group and more specifically within Conduct Risk. Predominantly operating trade surveillance within the Spread Products business, but there ... enable growth and economic progress. **Team/Role Overview** This SP Trade Monitoring role sits in the First Line of...+ 5-10 years' experience in credit related middle office, surveillance , risk management and/or regulatory compliance in… more
- Bank of America (New York, NY)
- …lists, watch lists, global research reports, wall-crossings, MNPI (Material Non-Public Information), trade surveillance , and trade preclearance. + Supervise ... Compliance & Operational Risk Manager -...banking, capital markets, and research functions. + Familiarity with surveillance and compliance monitoring systems. **Skills:** +… 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 ... the status quo and striving to be best-in-class. As a Product Manager in the Compliance Conduct and Operational Risk (CCOR) Data Analytics division, you will… more
- TD Bank (New York, NY)
- …behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding ... regulatory areas impacting products, behaviors and market participants. + Knowledge of trade and communications surveillance tools and vendors for detecting… more
- TD Bank (New York, NY)
- …behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding ... regulatory areas impacting products, behaviors and market participants. + Knowledge of trade and communications surveillance tools and vendors for detecting… more
- TD Bank (New York, NY)
- …behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding ... regulatory areas impacting products, behaviors and market participants. + Knowledge of trade and communications surveillance tools and vendors for detecting… 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
- 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:...of benefits to its employees. **Role Description** The SMBC Compliance Advisory Function resides within Compliance Department… more
- New York State Civil Service (New York, NY)
- …used in setting the prevailing rates;* Inspect payroll records to determine compliance with the law;* Investigate to determine the proper classification of work;* ... and estimating;Construction accounting;Technical project inspection, and evaluation;Regulatory construction-oriented MWBE compliance ;Work site safety compliance /reporting; orOSHA coordination.OR 2.… more