- 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
- Bank of America (New York, NY)
- Compliance and Operational Risk Manager - Trade Surveillance New York, New York;Charlotte, North Carolina **Job Description:** At Bank of America, we are ... Written Communications **Additional Competencies:** + Experience with, and calibration of, Trade Surveillance programs in Equities, Futures, Fixed Income and/or… more
- SMBC (New York, NY)
- …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
- 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
- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Trade Surveillance team responsible for the design, ... Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance...duties may be assigned as required. **Job Family Group:** Compliance and Control **Job Family:** Surveillance **Time… 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
- TD Bank (New York, NY)
- …areas:** + Capital Markets (Familiarity with Asset Classes and Products) + Compliance (AML, Trade Surveillance and Supervision) **Technical Knowledge ... or other AML surveillance vendor solutions or SMARTS/Trading Hub or other trade surveillance vendor platforms + Understanding of Workflow Engines + Detailed… more
- Citizens (New York, NY)
- …is seeking a highly skilled Compliance Director to lead our advisory and trade surveillance efforts. Our Compliance team is vital to upholding the ... Options, and Fixed Income markets. + 5-10 years of experience in trade surveillance and/or compliance advisory roles. + Strong analytical skills, including… 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
- Citigroup (Jersey City, NJ)
- …. The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance , e-communications and voice ... Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and… more
- Citigroup (Jersey City, NJ)
- …The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance , e-communications and ... Serves as a compliance risk manager for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and… 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 (Jersey City, NJ)
- …will report to the Lead of Transformation, Audit and Reporting within the Compliance Communications Surveillance function and will be instrumental in developing, ... 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… more
- HSBC (New York, NY)
- …Banking; and Wealth & Private Banking). The program consists of Trade , Electronic Communications, Voice, and Unauthorized Trading Surveillance activities. ... surveillance colleagues: Senior Management, Audit, Front/Middle/Back Office, Operations, Compliance Advisory, Change Management, and IT + Understand areas of… more
- SMBC (Jersey City, NJ)
- …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 ... **Role Description** Sumitomo Mitsui Banking Corporation is hiring an E-communications Surveillance Vice President. This role is responsible for reviewing corporate… more
- Wolters Kluwer (New York, NY)
- …will report to the Senior Director Product Management * Health Clinical Surveillance & Compliance **RESPONSIBLITIES** Manage the product lifecycle for Sentri7 ... You will be responsible for overall product lifecycle management for the Surveillance products represented by the Sentri7 suite name - Sentri7 Pharmacy, Sentri7… 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
- Robert Half Management Resources (New York, NY)
- …large bank - Experience auditing and performing risk assessment surrounding areas related to trade surveillance , trade compliance , and other front-office ... who can lead and execute audits, risk assessments, and issue validations surrounding trade surveillance . Candidate must have internal audit experience with a… more
- Citigroup (Jersey City, NJ)
- …Employee Compliance program encompasses a number of portfolios including trade surveillance , e-communications and voice surveillance , employee personal ... Serves as a compliance risk officer for Surveillance Intelligence Unit (SIU) within Independent Compliance Risk Management (ICRM)'s Surveillance and… more