- TD Bank (New York, NY)
- …areas:** + Capital Markets (Familiarity with Asset Classes and Products) + Compliance ( AML , Trade Surveillance and Supervision) **Technical knowledge and ... operating systems + Implementation experience of either NICE Actimize Platform or other AML surveillance vendor solutions or SMARTS/Trading Hub or other trade… more
- SMBC (Jersey City, NJ)
- … 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
- MetLife (New York, NY)
- …of global compliance programs for MetLife businesses relating to Anti-Money Laundering ( AML ), Economic & Trade Sanctions and Anti-Bribery & Corruption (AB&C) ... efforts. Key Responsibilities: * Drive success within the Anti-Money Laundering ( AML ), Sanctions Compliance (SC) and Anti-Bribery & Corruption (AB&C) compliance… 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...compliance. + Participate in the review of monitoring and surveillance routines and respond to alerts or issues from… more
- TD Bank (New York, NY)
- …with Compliance or relevant Risk and Control teams. + Conduct First Line surveillance and business conduct reviews. + Compile management reporting on trade ... management / control function partners (eg Risk, Legal, Compliance, AML and Audit) to assess risks, develop and implement...issues (eg 6-12 months) + Generally reports to a Senior Manager or above **Education & Experience:** + Undergraduate… more