- Bank of America (New York, NY)
- Trade Surveillance Analyst New York, New...thinking Desired Experience * Understanding of the Financial Industry, front office or back office ... + Quality Assurance **Minimum Education Requirement:** Null Job Description: The Trade Surveillance analyst is primarily accountable for conducting "Market… more
- Bank of America (New York, NY)
- Sr Trade Surveillance Lead Charlotte, North Carolina;Jersey City, New Jersey; New York, New York **Job Description:** At Bank of America, we are guided by a ... Underwriting **Minimum Education Requirement:** Null Job Description: The Sr Trade Surveillance lead, in collaboration with Risk...thinking Desired Experience * Understanding of the Financial Industry, front office or back office … more
- SMBC (New York, NY)
- …trade data, e-comm and voice records; + Interact with front office personnel and other stakeholders around surveillance escalations; + Engage relevant ... and risks of the KYC Department. The CPAD Market Surveillance team performs centralized trade surveillance...work from home, as well as, from an SMBC office . SMBC requires that employees live within a reasonable… more
- Robert Half Management Resources (New York, NY)
- …performing risk assessment surrounding areas related to trade surveillance , trade compliance, and other front - office type compliance Robert Half is ... who can lead and execute audits, risk assessments, and issue validations surrounding trade surveillance . Candidate must have internal audit experience with a… more
- TD Bank (New York, NY)
- …reviews and reporting reviews for assigned businesses + Monitors Day-to-day front office electronic communications (including corporate e-mail, instant messages, ... venue rulebook management process, venue limits compliance process, support for surveillance metrics capture and completeness of trade reporting, implementation… more
- CIBC (New York, NY)
- …to both senior management and regulatory staff and resolved; 5) collaborating with front office and Technology personnel on developing and implementing solutions ... external regulators (eg FINRA, SEC, Federal Reserve), internal infrastructure support and front office personnel, in the development and implementation of CIBC's… more
- TD Bank (New York, NY)
- …and coordinate First Line responses to regulatory inquiries in coordination with Compliance, Front Office , RSM teams; and other support groups. + Interface with ... with Compliance or relevant Risk and Control teams. + Conduct First Line surveillance and business conduct reviews. + Compile management reporting on trade … more
- City of New York (New York, NY)
- …organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent ... BNH) seeks to hire an Administrative Associate to assist in maintaining efficiency of office and administrative needs. Duties will include but not be limited to: -… more