- JPMorgan Chase (Jersey City, NJ)
- …outside the box, challenging the status quo, and striving to be best-in-class. As a Surveillance Lead Vice President within the North America and Latin ... capabilities, and skills** + Bachelor's Degree + 3+ years of Trade Surveillance or other compliance , regulatory, or related financial industry… more
- TD Bank (New York, NY)
- …Description:** The TD Securities US Compliance 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 specialists/professionals providing advice,...of issues + Network with other colleagues in Global Surveillance and the wider Compliance teams and… more
- TD Bank (New York, NY)
- …The TD Securities US Compliance team is looking for Vice President candidates to join the trade surveillance team, specializing in Fixed ... Foreign Exchange and Commodities, Equities Options and Futures. The VP Compliance TDS oversees/leads a team(s) of...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 ... surveillance portfolio and related initiatives. The VP Compliance TDS oversees/leads a team(s) of… more
- Wells Fargo (New York, NY)
- …role:** Wells Fargo is seeking a Senior Control Management Specialist - Trade Surveillance Governance. This Assistant Vice President will assist in key ... and mitigating control solutions. The Assistant Vice President of Trade Surveillance Governance...team meetings and contribute to discussions on risk and compliance strategy. ** Trade Surveillance Awareness**… 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
- JPMorgan Chase (New York, NY)
- …challenging the status quo and striving to be best-in-class. As a Data Scientist Vice President within the Compliance , Conduct Operational Risk (CCOR) Data ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...Operational Risk Management, Anti-Money Laundering & Know Your Customer, Trade Surveillance model development JPMorganChase, one of… more
- TD Bank (New York, NY)
- …other aspects of the Core Compliance program as needed. The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, ... more specific details for this role. **Job Description:** This VP , Compliance is a key member of...market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. +… more
- JPMorgan Chase (Jersey City, NJ)
- …clients, assets, and the firm's reputation through advanced data management and market surveillance . As a Data Owner Lead, you'll shape the future of data-driven ... compliance and operational resilience, collaborating with experts across technology,...journey. As a Data Owner Lead in the Market Surveillance (Transactions & Communications) function, you will play a… 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
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing ... behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding… more
- SMBC (Jersey City, NJ)
- …the FIU VP , the FIU Associate is responsible for the day-to-day compliance efforts related to transaction surveillance , including the completion of assigned ... is responsible for the delegation and oversight of day-to-day compliance efforts related to transaction surveillance . This...and procedures. **Role Objectives** + Working with the FIU VP , ensures department's compliance with all regulatory… more