- SMBC (Jersey City, NJ)
- …SMBC offers a competitive portfolio of benefits to its employees. **Role Description** The Communications Surveillance Vice President role will report to the ... Lead of Transformation, Audit and Reporting within the Compliance Communications Surveillance function and... Surveillance Program. As a change agent, Communications Surveillance Vice President will… more
- TD Bank (New York, NY)
- …this role. **Job Description:** The TDS US Compliance team is looking for Vice President to join the trade surveillance team focused on Communications . ... 5-10 years of experience in surveillance in Communications . The VP Compliance TDS oversees/leads a... surveillance in Communications . The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice,… more
- JPMorgan Chase (Jersey City, NJ)
- …the box, challenging the status quo and striving to be best-in-class. As a Surveillance Lead Vice President within the North America Information Barrier Trade ... will work closely with both the Line of Business (LOB) management and Compliance stakeholders, as well as global/regional Surveillance teams. Additionally, you… more
- TD Bank (New York, NY)
- …this role. **Job Description:** The TDS US Compliance team is looking for Vice President candidates to join the trade surveillance team. Preferred 5-10 years ... of Compliance function initiatives and programs * Prepare summaries, communications , reports and presentations for management, regulators, and other internal and… more
- TD Bank (New York, NY)
- …as needed, and providing advice and support, as required. Within the Global Compliance Department, the Global Surveillance Team is responsible for conducting ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $120,000 - $250,000 USD TD is...surveillance of communications and trading as it relates the market manipulation,… more
- Santander US (New York, NY)
- …activities, surveillance , controls, supervision, policies, procedures, and general compliance matters. USA Job Function Description: Vice President, Bank ... Officer New York, United States of America USA Job Family Description: Vice President, Bank Regulatory Compliance Advisory (Corporate and Investment Bank)… more
- BMO Financial Group (New York, NY)
- …(eg, FINRA). + Investigate and respond to regulatory inquiries from 2nd line Compliance and market surveillance regulators. + Provide guidelines to the line ... for directing, leading and operating the First Line of Defence's Operating Group Compliance Program (OGCP). An OGCP is the system of policies, processes and controls… more