- TD Bank (New York, NY)
- … Surveillance and Communications, TDS (US) reports to the TDBG VP, Compliance Trade Surveillance . **Individual Accountabilities:** * Lead a team of ... surveillance platforms * Create strategic focus and actively manage Communications and Trade Surveillance systems, policies, and procedures to produce a more… 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 (Jersey City, NJ)
- …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
- Scotiabank (New York, NY)
- …Officer in Charge (OIC) and leads the planning, execution and reporting of Global trade surveillance Compliance Audit by assessing the control effectiveness ... and execution of a comprehensive and strategic audit plan for Global Compliance Trade Surveillance , ensuring auditable entities remain within cycle. +… 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
- Capgemini (Whippany, NJ)
- …Analyst with knowledge in delivering Compliance and Regulatory programs in the Compliance IT space ( Trade surveillance and Control Room Surveillance ... this high volume and dynamic data environment spread across Surveillance and other critical compliance applications. + Will work very closely with key business… 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 ... as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible...fast paced environment with a positive attitude + Prior trade surveillance experience is desirable, especially on… more
- Citigroup (Jersey City, NJ)
- …matter The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance , e-communications, and ... The senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team is responsible for the oversight for surveillance… more
- Insight Global (New York, NY)
- …relevant L&C technology platforms; Communications Surveillance (eg Global Relay), Trade Surveillance , Investment Compliance , KYC/AML (eg MaxComply IQ-EQ) ... Job Description Insight Global is looking for a Compliance Engineering Product Lead to join one of...This person will join the Human Capital, Legal & Compliance , & GRC Technology Division as a high-energy engineering… more
- Bloomberg (New York, NY)
- …across buy and sell-side institutions - Demonstrated knowledge of communication or trade surveillance engines, applications, and workflows and experience in ... management service that delivers integrated trading and communication archival, surveillance , eDiscovery, and analytics capabilities through Bloomberg's scalable and… more
- Marex (New York, NY)
- …Procedures. + Provide Compliance Advisory services for US Marex Solutions Trade Surveillance process. + Provide Compliance Advisory services for ... www.marex.com (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Executive Compliance Officer - Solutions Advisory position will provide … more
- Bank of America (Jersey City, NJ)
- …measuring monitoring and constantly improving the effectiveness and efficiency of the Trade Surveillance Program. The team conducts this responsibility by ... Surveillance , and Testing + Process Management + Regulatory Compliance + Reporting + Risk Management + Attention to...execution of the various programs. + Ensure that the Trade Surveillance program is executing against internal… 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
- 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
- Tradeweb (New York, NY)
- …of the compliance program such as, Personal Account Dealings, Training, Surveillance and monthly reporting to senior management. Depending on any subject matter ... Tradeweb Compliance is looking for a junior to mid-level...than 65 countries across the globe. Since our first trade in 1998, we have helped transform and electronify… more
- MetLife (New York, NY)
- … programs for MetLife businesses relating to Anti-Money Laundering (AML), Economic & Trade Sanctions and Anti-Bribery & Corruption (AB&C) compliance risks. This ... defense for risk identification, measurement, and mitigation. Within Global Risk, Compliance Risk Management (CRM) provides for shared ownership of risk management… more
- City of New York (New York, NY)
- …organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent ... seeks to hire an Administrative Manager, NM/L-III (Senior Director, Office of Compliance Services). DUTIES WILL INCLUDE BUT NOT BE LIMITED TO: Establishing a… more
- Capital One (New York, NY)
- …equity research, investment banking and mergers and acquisitions. + Experience with trade surveillance of fixed income (asset backed securities including ... (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance Advisor...New York Compliance Advisor Senior Manager The Compliance Advisor Senior Manager will report directly to the… more