- ManpowerGroup (New York, NY)
- …+ **Prior experience in:** + Trading desks, or product control, compliance or trade surveillance + Reviewing, investigating, and escalating trade ... client, a leading financial institution, is seeking a **Trade Surveillance Consultant** to join their team in New York...ton of exposure by collaborating directly with leaders across compliance , tech, and trading . You will work… more
- ExxonMobil (Spring, TX)
- …monitoring and surveillance techniques based on changes to the business's trading activity and/or the latest rules and regulations * Ensure existing requirements ... * Compliance experience in futures, financial and physical commodities trading * Working knowledge of commodity regulations/reporting * Experience with risk… more
- TD Bank (New York, NY)
- …levels of Trading & Sales Management dependent on the task + Facilitates the surveillance of Trading and Sales activities to be in line with regulatory rules ... details for this role. **Job Description:** The Associate - Trading Business Management (TBM) is responsible for helping TD...+ Administering Global Markets Swap Dealer and Volcker Business Compliance Programs; and Codes of Conduct + Assist in… more
- TD Bank (New York, NY)
- …bank/systemically important financial institution in the US. Our team of trusted Surveillance Compliance professionals engage with key stakeholders across TD ... global Markets business, by delivering and comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance… more
- Truist (Atlanta, GA)
- …to review alerts and investigate potential compliance issues. 2. Performs surveillance of trading activities to identify potential instances of market ... job description:** An independent team within CIB - Sales, Trading and Research that supports the Surveillance ...Surveillance program within CIB. The team performs trade surveillance activities, working with traders, compliance , and… more
- Citigroup (Jersey City, NJ)
- …/Control related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and ... requirements on a transaction-specific basis. + Liaise with other legal and compliance groups to address information barrier issues, trading in equities… more
- TD Bank (New York, NY)
- …detect anomalies in surveillance data. + Cross-Functional Leadership: Partner with Compliance , Risk, Trading , and Technology teams to optimize data workflows ... bank/systemically important financial institution in the US. Our team of trusted Surveillance Compliance professionals engages with key stakeholders across TD… more
- TD Bank (New York, NY)
- …and global regulatory expectations. **Department Overview:** Our team of trusted Surveillance Compliance professionals engages with key stakeholders across TD ... global Markets business, by delivering and comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance… more
- Citigroup (Getzville, NY)
- …Electronic Communications Surveillance Intermediate Associate Analyst serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s ... related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and… more
- Mizuho Corporate Bank (New York, NY)
- The Compliance function manages compliance and regulatory risk by establishing compliance policies, providing training, conducting compliance reviews, ... activities and transactions at Mizuho, ensuring timely reporting to the AML Compliance Manager. This role also involves reviewing AML cases, conducting research,… more
- CIBC (New York, NY)
- … trading desk's daily business activities; and 6) monitoring sales and trading activities to ensure compliance with CIBC policies and regulatory requirements. ... regulatory matters and provide clear and insightful guidance to senior management and trading personnel; + Ability to manage Compliance technology projects; +… more
- Marex (New York, NY)
- …the Compliance Manual and Written Supervisory Procedures. + Provide Compliance Advisory services for broker-dealer Trade Surveillance process. + Provide ... + Carry out assigned compliance testing. + Coordinate and provide Compliance Advisory support to registration, employee trading and assigned business line… more
- Mizuho Corporate Bank (New York, NY)
- …clear, actionable technical specifications. Lead the analysis and design of compliance technology solutions, including surveillance , case management, and ... of compliance systems, including case management, regulatory reporting, and surveillance tools. + Ensure that all compliance technology solutions meet… more
- JPMorgan Chase (New York, NY)
- …clients. In this role you will also focus on equities and fixed income trading Compliance matters. Job Responsibilities + Maintain policies and standards which ... set forth the requirements for equities and fixed income trading regarding the management and oversight over compliance risks + Participate in the risk… more
- Scotiabank (New York, NY)
- …Charge (OIC) and leads the planning, execution and reporting of Global trade surveillance Compliance Audit by assessing the control effectiveness and Bank's ... improve the control environment. + Assess the effectiveness of the bank's trade surveillance compliance program through an effective challenge of market abuse… more
- Scotiabank (New York, NY)
- …and efficiency of the Compliance function. + Coordinate with central compliance groups, including Testing and Surveillance , to provide reasonable assurance ... Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 230322 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown… more
- S&P Global (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... **About the Role:** **Grade Level (for internal use):** 11 ** Compliance & Control, Senior Analyst - Ratings** **The Role** The Senior Analyst role is based in New… more
- AON (Chicago, IL)
- …the Firm's Code of Ethics/personal trading policies through the Firm's compliance software. + Conceptualize and conduct ongoing surveillance to address ... the Firm's Code of Ethics/personal trading policies through the Firm's compliance software. + Conceptualize and conduct ongoing surveillance to address… more
- M&T Bank (Boston, MA)
- …inquiries, marketing reviews, on-going training and continuing education of employees, surveillance and regulatory compliance efforts in MTS' primary business ... + Assist with ongoing monitoring of employee communications, personal trading , and outside activities through the firm's surveillance...5 years of relevant work experience, such as in compliance , trading or broker-dealer operations + Strong… more
- Marex (New York, NY)
- …US Broker Policies and Procedures and Written Supervisory Procedures. + Provide Compliance Advisory services for US Broker Trade Surveillance process. + ... For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance … more