- SMBC (New York, NY)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function… more
- Capital One (New York, NY)
- Trade Surveillance Manager ( Broker -Dealer & Swap Dealer) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to ... enhancement of surveillance procedures, scenarios, and parameter settings within the trade surveillance platform. + Ensure the surveillance program… more
- Deloitte (New York, NY)
- …+ Significant experience in one or more of the following areas - Trade surveillance , communications surveillance , control room / information barriers ... with and add value to our clients. As a Manager , you will have opportunities to: + Lead project...Experience using, configuring, implementing, or supporting systems for either trade surveillance , communications surveillance , control… more
- TD Bank (New York, NY)
- …behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding ... regulatory areas impacting products, behaviors and market participants. + Knowledge of trade and communications surveillance tools and vendors for detecting… more
- TD Bank (New York, NY)
- …behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding ... regulatory areas impacting products, behaviors and market participants. + Knowledge of trade and communications surveillance tools and vendors for detecting… more
- TD Bank (New York, NY)
- …behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding ... regulatory areas impacting products, behaviors and market participants. + Knowledge of trade and communications surveillance tools and vendors for detecting… more
