- SMBC (New York, NY)
- …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
- JPMorgan Chase (New York, NY)
- …a related field required + 8+ years of related experience. + Experience in a Trade Surveillance analyst or product role, or working with trading data. + ... Program team, you will manage key products under CCOR's Global Compliance Trade and Electronic Communications Surveillance Program. Your role will necessitate a… 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