- 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 ... **Role Objectives** + Review and follow up on a variety of trade surveillance alerts and exception reports covering wide range of risks and products,… 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 ... findings and open gaps. + Contribute metrics to Conduct Risk Committees and Vice Chair supervision meetings, as well as Co-Head directs supervisory meetings. +… more
- Morgan Stanley (New York, NY)
- …pay rates for the role will be between $175,000 - $250,000per year for Vice President ,and between $225,000 and $300,000per year for Executive Director, at the ... key trends * Review and evaluate new transactions and trade amendments * Perform portfolio surveillance and...transactions and trade amendments * Perform portfolio surveillance and stress testing * Perform periodic business reviews… more