- 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
- Bank of America (New York, NY)
- Compliance and Operational Risk Manager - Trade Surveillance New York, New York;Charlotte, North Carolina **Job Description:** At Bank of America, we are ... Written Communications **Additional Competencies:** + Experience with, and calibration of, Trade Surveillance programs in Equities, Futures, Fixed Income and/or… 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
- 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 ... development initiatives. **Role Objectives** + Report to the Fixed Income Trade Surveillance Manager for day-to-day surveillance assignments; +… 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
- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Trade Surveillance team responsible for the design, ... Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance...duties may be assigned as required. **Job Family Group:** Compliance and Control **Job Family:** Surveillance **Time… more
- Citizens (New York, NY)
- …is seeking a highly skilled Compliance Director to lead our advisory and trade surveillance efforts. Our Compliance team is vital to upholding the ... Options, and Fixed Income markets. + 5-10 years of experience in trade surveillance and/or compliance advisory roles. + Strong analytical skills, including… 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)
- …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
- Citigroup (Jersey City, NJ)
- …The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance , e-communications and ... Serves as a compliance risk manager for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and… 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 (Jersey City, NJ)
- …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
- HSBC (New York, NY)
- …setting expectation to multiple businesses simultaneously + Responsible for attending to Compliance , Legal, Surveillance , and Business requests with the utmost ... **Description** Trade Floor Voice Subject Matter Expert Our purpose...planning, IT governance, and managing life cycle expectations In compliance with applicable laws, HSBC is committed to employing… more
- Robert Half Management Resources (New York, NY)
- …large bank - Experience auditing and performing risk assessment surrounding areas related to trade surveillance , trade compliance , and other front-office ... who can lead and execute audits, risk assessments, and issue validations surrounding trade surveillance . Candidate must have internal audit experience with a… more
- Bank of America (New York, NY)
- …derivatives + Understanding of compliance program elements such as risk assessments, trade surveillance and policy management. + Familiarity with trade ... Equities Compliance and Operational Risk Manager New York, New...job is responsible for executing second line of defense compliance and operational risk oversight for a Front Line… more
- Federal Reserve Bank (New York, NY)
- …designing, or managing various compliance risk management controls, including monitoring/ surveillance systems such as trade surveillance and market ... safety and soundness of supervised institutions; + Ensure supervised institutions' compliance with relevant laws and regulations, including consumer protection; +… more