- 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
- Bloomberg (New York, NY)
- …have:** + A minimum of 7 years' derivatives, swaps and/or commodities products compliance + Experience conducting trade surveillance , real-time market ... SEF Compliance Surveillance Lead and Advisory ...collaboration and teamwork. **We'll trust you to:** + Conduct trade surveillance monitoring, real-time market monitoring and… more
- JPMorgan Chase (New York, NY)
- …team, you will be responsible for managing key products within CCOR's Global Compliance Trade and Electronic Communications Surveillance Program. This 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
- Bank of America (New York, NY)
- Director, Trade Surveillance Alert Reviewers - Central Trade Surveillance New York, New York;Charlotte, North Carolina **Job Description:** The Global ... relating to non-financial risk, including but not limited to compliance with regulatory rules and guidance as well as...Director level, to work within a global team of trade surveillance specialists, focused in the Rates… 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
- 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
- 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
- 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
- TEKsystems (New York, NY)
- …services, coordinates and performs ongoing risk assessments, and conducts monitoring and surveillance activities to ensure that the Compliance Program remains ... Description: Role Mandate: The Compliance Officer assists Compliance management in...the equities trading business * Monitor controls that cover trade reporting, execution, and electronic communication * Assist in… 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 ... perform tasks and assignments in the fields of Cyber security Awareness, Governance, Compliance , and other relevant and required duties for the Cyber security… more
- Morgan Stanley (New York, NY)
- …sanctions and have established a strong Oversight program covering communications and trade surveillance and testing of policies, processes, and controls. They ... the Non-Financial Risk (NFR) Department of the Legal and Compliance Division provide a wide range of services to...Firm's businesses. Background on the Team The Americas ISG Compliance team within LCD's NFR Department helps manage the… more
- Federal Reserve System (New York, NY)
- …assessments, monitoring, testing, training, audit and change management. + Experience in assessing trade surveillance and market conduct risk programs a plus. + ... overall safety and soundness of supervised institutions + Ensure supervised institutions' compliance with relevant laws and regulations + Facilitate the stability of… 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 ... seeks to hire an Administrative Manager, NM/L-III (Senior Director, Office of Compliance Services). DUTIES WILL INCLUDE BUT NOT BE LIMITED TO: Establishing a… more
- Bank of America (New York, NY)
- Compliance and Operational Risk Manager- Control Room Charlotte, North Carolina;New York, New York **Job Description:** At Bank of America, we are guided by a common ... **Job Description:** This job is responsible for the execution of the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy and… more
- SMBC (New York, NY)
- …for optimized efficiency and productivity + Set strategic priorities with the Head of Compliance Surveillance to identify areas of focus and identify metrics for ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...its employees. **Role Description** This senior role within the Compliance Department manages the control areas related to regulatory… 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 ... Under the direction of the Controller, the Senior Director for Fiscal Compliance and Strategic Initiatives, will assume oversight responsibility for the respective… 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 ... the administrative misconduct and incompetency of Child Care field inspector in compliance with IT security policies and internal security Conducts IT security… more