- 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
- SMBC (New York, NY)
- …surveillance development initiatives. **Role Objectives** + Report to the Fixed Income Trade Surveillance Manager for day-to-day surveillance ... AML oversees key processes and risks of the KYC Department. The CPAD Market Surveillance team performs centralized trade surveillance for the America's SMBC… 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 ... expert in test script design and test execution for Compliance and Operational Risk. The Testing Manager ...for Compliance and Operational Risk. The Sr Trade Surveillance lead consults with compliance… 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 voice ... as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible...the Firm and escalating the matter to a designated manager and to the legal representative and the respective… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk manager for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and ... The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance , e-communications and… more
- Wolters Kluwer (Chicago, IL)
- …will report to the Senior Director Product Management * Health Clinical Surveillance & Compliance **RESPONSIBLITIES** Manage the product lifecycle for Sentri7 ... You will be responsible for overall product lifecycle management for the Surveillance products represented by the Sentri7 suite name - Sentri7 Pharmacy, Sentri7… more
- Pilot Company (Houston, TX)
- …coordination on daily credit and collateral process management and performance of trade surveillance and credit limit guidance. **Essential Functions** 1. ... ratings, parent guarantees, letters of credit, family hierarchies, and trade credit insurance. 3. Work with the Manager...line commercial & cross functional teams. 6. Support the Compliance team on all know your customer ("KYC") requirements.… 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 York **Job Description:** At Bank of America, we are guided by a common purpose to help make… more
- Love's Travel Stops & Country Stores (Houston, TX)
- **Req ID:** 433477 **BASIC PURPOSE** : Manage and lead Musket and Trillium's trade surveillance and compliance programs. **MAJOR RESPONSIBILITIES:** + Work ... closely with trading, legal, risk, and accounting to ensure compliance with laws and regulations + Manage the continuous...the review, analysis, and reporting of results from internal trade surveillance system(s) + Respond to and… more
- Scotiabank (New York, NY)
- Senior Manager , Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... an important bridge to this key global market for trade and investment flows across the Americas and the...the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and… more
- Capital One (New York, NY)
- …equity research, investment banking and mergers and acquisitions. + Experience with trade surveillance of fixed income (asset backed securities including ... 299 Park Avenue (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance Advisor Senior Manager will report… more
- Bank of America (Charlotte, NC)
- 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 ... regulatory changes applicable to area(s) of coverage **Skills:** + Advisory + Monitoring, Surveillance , and Testing + Regulatory Compliance + Reporting + Risk… more
- Bank of America (New York, NY)
- …evaluation and research on different use cases and scenarios for the trade surveillance - market disruption, market manipulation, financial or regulatory ... following areas - Trading, Consumer Banking, Wealth Management, Transaction Banking, Compliance Surveillance . Understanding of algorithmic trading, their impact… more
- Sierra Nevada Corporation (Plano, TX)
- … compliance with FARs, DFARs, Prime Contract flow downs, International Trade Compliance Office (ITCO), and other relevant regulations and policies ... (PMO), Business Development (BD), Engineering, Finance, Quality, Operations, Logistics, International Trade Compliance Office (ITCO) and Regulatory Government … more
- Sierra Nevada Corporation (Plano, TX)
- … compliance with FARs, DFARs, Prime Contract flow downs, International Trade Compliance Office (ITCO), and other applicable policies and regulations ... Business Development (BD), Engineering, Finance, Quality, Operations, Logistics, International Trade Compliance Office (ITCO), Regulatory Government … more
- Scotiabank (New York, NY)
- …Internal Control governance framework is preferred including understanding of Supervision, Surveillance & Monitoring, Trade Floor Supervision, Risk and Control ... Manager , US Internal Control and Global Wholesale Operations...an important bridge to this key global market for trade and investment flows across the Americas and the… more
- Bank of America (Sacramento, CA)
- Supervision Manager Sacramento, California **Job Description:** At Bank of America, we are guided by a common purpose to help make financial lives better through the ... Summary:** The Supervisory Management position will serve to ensure regulatory compliance and corporate mandates for all administrative, sales, and operational… more
- Sierra Nevada Corporation (Lone Tree, CO)
- … compliance with FARs, DFARs, Prime Contract flow downs, International Trade Compliance Office (ITCO), and other relevant regulations and policies. ... (PMO), Business Development (BD), Engineering, Finance, Quality, Operations, Logistics, International Trade Compliance Office (ITCO) and Regulatory Government … 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 ... to environmental and occupational health risks through outreach and education, surveillance , and enforcement. Within the division, the Bureau of Environmental… more