- Santander US (New York, NY)
- Vice President, Compliance - Trade Surveillance New York, United States of America This Trade Surveillance role is an integral part of the Santander ... of reviews. + Creates/maintains/provides compliance metrics, as needed, relating to trade surveillance . + Responds to internal queries and work closely with… more
- Mizuho Corporate Bank (New York, NY)
- About the Role The individual will be joining the Compliance Surveillance team. The surveillance team is responsible for monitoring trading in all asset ... respond to alerts identified on the Firm's suite of Trade surveillance platforms. Assess the current ...TRAQS (ORF & TRACE) Knowledge of best practices, and surveillance procedures of securities industry compliance reviews… more
- Citigroup (Jersey City, NJ)
- …. The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance , e-communications and voice ... Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and… more
- JPMorgan Chase (New York, NY)
- …Surveillance Program team, you will manage key products under CCOR's Global Compliance Trade and Electronic Communications Surveillance Program. Your role ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...8+ years of related experience. + Experience in a Trade Surveillance analyst or product role, or… more
- Bank of America (New York, NY)
- …in development and design of the scripts used to review the alerts. The Trade Surveillance analyst collaborates with Compliance and Operational Risk on ... Trade Surveillance Analyst New York, New...with Risk, Compliance , and SMEs to conduct trade Surveillance . The Trade ...Compliance , and SMEs to conduct trade Surveillance . The Trade Surveillance analyst… more
- Bank of America (New York, NY)
- …**Minimum Education Requirement:** Null Job Description: The Sr Trade Surveillance lead, in collaboration with Risk and Compliance officers, ensures ... area of expertise for Compliance and Operational Risk. The Sr Trade Surveillance lead consults with compliance officers and operational risk to execute… more
- Wells Fargo (New York, NY)
- …Payments Services, Mortgage Servicing, FCM, and Prime Services businesses. The Head of Trade Surveillance Subject Matter Experts (SMEs) will report to the Global ... Head of Trade Surveillance and will be responsible for...management, COOs, Business Control Managers and partner functions (eg, Compliance , Risk, Operations, Technology, and Legal). In this role… more
- Wells Fargo (New York, NY)
- …this role: Wells Fargo is seeking a Lead Control Management Officer within Commodities Trade Surveillance . Learn more about our career areas and lines of ... Global Payments Services, Mortgage Servicing, FCM, and Prime Services businesses. The Trade Surveillance Commodities Subject Matter Expert (SME) will report to… more
- Truist (New York, NY)
- …the Surveillance program within CIB. The team performs trade surveillance activities, working with traders, compliance , and other risk functions to ... review trade surveillance alerts and investigate potential compliance issues. Responsible for the selection, training, development, and evaluation of the… more
- Wells Fargo (New York, NY)
- …Global Payments Services, Mortgage Servicing, FCM, and Prime Services businesses. The Head of Trade Surveillance Governance will report to the Global Head of ... Trade Surveillance and will be responsible for...with COOs, Business Control Managers and partner functions (eg, Compliance , Risk, Operations, Technology, and Legal). In this role,… more
- ManpowerGroup (Jersey City, NJ)
- **Job Title:** Trade Surveillance Analyst **Location:** Jersey City New Jersey 07302 (Hybrid work model) **Duration:** 5+ months contract with potential to ... **Partnered with:** Fortune 500 Banking Client **Role Overview:** Experis is seeking a Trade Surveillance Analyst to join our Fortune 500 banking client in… more
- Bank of America (New York, NY)
- Audit Supervisor - Global Markets Trade Surveillance /Market Conduct New York, New York **Job Description:** At Bank of America, we are guided by a common purpose ... **Required Qualifications:** + 4-5 years' in audit or in a compliance /business controls/risk management role with specific experience/coverage of trading desk… more
- Marex (New York, NY)
- …more information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Surveillance Compliance officer to join their team in New York. ... between Marex and regulatory bodies. Responsibilities: + Provide E-communications, Voice, and Trade Surveillance review services to US Broker-Dealer (BD) and FCM… more
- Citigroup (Jersey City, NJ)
- …. The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance , e-communications and voice ... Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and… more
- Citigroup (Jersey City, NJ)
- …matter The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance , e-communications, and ... The senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team is responsible for the oversight for surveillance… more
- Wells Fargo (New York, NY)
- …Services businesses. The Data Assurance Director will report to the Global Head of Trade Surveillance and will be responsible for managing and enhancing all ... aspects related to Data Assurance within Trade Surveillance . This position will require extensive...Heads, COOs, Business Control Managers and partner functions (eg, Compliance , Data Management, Technology, Risk, Operations and Legal). In… more
- Morgan Stanley (New York, NY)
- …Investment Management is seeking an Associate to join its US Portfolio Surveillance /Investment Compliance team within the COO office. The successful candidate ... trading process. *Qualifications - External* * 3 - 5 years relevant portfolio surveillance /investment compliance and client servicing needs * Knowledge of … more
- SMBC (Jersey City, NJ)
- …will report to the Lead of Transformation, Audit and Reporting within the Compliance Communications Surveillance function and will be instrumental in developing, ... 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… more
- 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 ... Description** Sumitomo Mitsui Banking Corporation is hiring an E-communications Surveillance Associate. This role is responsible for reviewing corporate electronic… more
- Bank of America (New York, NY)
- …+ Assist in the execution of regular and fundamental reviews of the firm's trade surveillance processes and procedures and implement changes where necessary; + ... Compliance & Op Risk Manager - EQ/Futures New York,...Help to drive the firm's trade surveillance change program; + Assist with the monitoring of current… more