- TD Bank (New York, NY)
- …and providing advice and support, as required. **Job Details:** The Head of Compliance , Trade Surveillance and Communications, TDS (US) reports to the ... TDBG VP, Compliance Trade Surveillance . **Individual Accountabilities:** * Lead a team of compliance professionals responsible for overseeing, reviewing… 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 ... at the required cadence + Improving and routinely prepare compliance management information for use by the Head...than 65 countries across the globe. Since our first trade in 1998, we have helped transform and electronify… more
- Scotiabank (New York, NY)
- …Internal Control governance framework is preferred including understanding of Supervision, Surveillance & Monitoring, Trade Floor Supervision, Risk and Control ... presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas and the world. Global Banking &… more