- Capital One (New York, NY)
- …surveillance, market regulation , or 6+ years compliance experience within a Broker- Dealer or Swap Dealer environment. Relevant certifications (FINRA ... Trade Surveillance Manager (Broker- Dealer & Swap Dealer )...This individual will oversee day-to-day surveillance operations, maintain robust controls around the monitoring of trading activity, and ensure… more
- Capital One (New York, NY)
- …surveillance, market regulation , or 6+ years compliance experience within a Broker- Dealer or Swap Dealer environment. + Relevant certifications (FINRA ... Trade Surveillance Manager (Broker- Dealer & Swap Dealer )...This individual will oversee day-to-day surveillance operations, maintain robust controls around the monitoring of trading activity, and ensure… more
