- TD Bank (Mount Laurel, NJ)
- …analytical models used for TD. The position reports to Senior Manager, Trading Surveillance and Insider Risk Models Validation. Detailed accountabilities ... include: + Validates Financial Crime Risk Management (FCRM) models for Trading Surveillance + Develop an effective and efficient validation testing plan based on… more
- TD Bank (Mount Laurel, NJ)
- …of quantitative professionals to validate Financial Crime Risk Management (FCRM) models for Trading Surveillance and Insider Risk Management + Work with team to ... full professional knowledge of techniques and developments in FCRM modeling for Trading Surveillance and Insider Risk Management and share knowledge with… more
- CHS Inc. (Inver Grove Heights, MN)
- …and energy commodities. CHS's Compliance & Integrity team is seeking a Global Trading Compliance and New Product Risk Senior Director to oversee, monitor and ... role, the Senior Director will lead the development, governance and administration of trading compliance and new product risk management activities across the… 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
- Raymond James Financial, Inc. (New York, NY)
- …and implements added execution algos and enhancements for Raymond James electronic trading business. + Analyzes and provides quantitative analysis of Raymond James ... sources. + Creates back-testing models to evaluate and optimize the firm's trading strategies. + Initiates and maintains excellent working rapport with business… more
- Edward Jones (St. Louis, MO)
- …individual to serve as a Senior Compliance Officer within the firm's Trading and Market Surveillance area in Financial Crimes. **Key Responsibilities:** + ... 5+ years securities industry experience with minimum 3+ years in a compliance capacity or surveillance , trading or capital markets experience. + Series 7, 9,… more
- TD Bank (New York, NY)
- … Compliance team is looking for Vice President to join the Trade Surveillance team focused on Communications. The VP Compliance TDS oversees/leads a team(s) ... of issues + Network with other colleagues in Global Surveillance and the wider Compliance teams and...Work closely with the other stakeholders, such as Advisory Compliance , the Trading desks and Technology. +… 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
- Wells Fargo (New York, NY)
- …with internal, legal and regulatory requirements. + Regularly review and update surveillance governance frameworks to reflect changes in trading practices and ... compliance , legal, and IT teams to ensure effective surveillance coverage. + Attend team meetings and contribute to...team meetings and contribute to discussions on risk and compliance strategy. **Trade Surveillance Awareness** + Promoting… more
- MUFG (Irving, TX)
- …guidance overseen by the Compliance Group. This influential position will perform compliance testing reviews on the Sales & Trading business units with focus ... and procedures, including their extra-territorial application. Experience with markets compliance , markets surveillance , compliance monitoring, auditing… more
- TD Bank (New York, NY)
- …the financial services industry, specifically in compliance , trade surveillance and/or capital markets domains including trading lifecycles. ... solutions that support scalable, secure, reusable solutions across the Compliance , Surveillance and Supervision area. Responsibilities include planning,… more
- CIBC (New York, NY)
- …the time of your interview. **How You'll Succeed** + Supervise and conduct surveillance of the US registered broker-dealer securities trading products, as well ... responsible for the supervision of all US sales and trading desks within Global Markets. The supervisory program is...do occur. Regulatory Supervision is a business role (not Compliance ) and is delegated the responsibility to supervise on… more
- NextEra Energy (Juno Beach, FL)
- …our customers and stakeholders. Our team is skilled in market analysis, trading , risk management and delivering tailored customer solutions across North America. If ... fast-paced energy industry, join our team today. **Position Specific Description** The Trading Risk Management team is seeking a talented, experienced Credit Risk… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $145,000 - $185,000 USD TD is committed to providing fair ... who can provide you more specific details for this role. **Job Description:** This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** The Director Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance… more
- Bank of America (New York, NY)
- …inspecting and appropriately delegating team work. **Skills:** + Advisory + Monitoring, Surveillance , and Testing + Regulatory Compliance + Reporting + Risk ... Compliance and Operational Risk Manager- Foreign Exchange Coverage...support to the Global Foreign Exchange and Local Currency Trading ("FX and LCT") Front-Line Unit with regards to… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and… more
- JPMorgan Chase (Jersey City, NJ)
- …manipulative behaviors, with ability to conduct regulatory reviews + Experience reviewing trading activity for Compliance and familiarity with securities laws ... clients, assets, and the firm's reputation through advanced data management and market surveillance . As a Data Owner Lead, you'll shape the future of data-driven … more
- Insight Global (Dallas, TX)
- …AML, insider trading , and cybersecurity. *Implement, manage, and optimize compliance technology platforms to automate surveillance , reporting, and testing ... seeking to hire an experienced and detail-oriented Deputy Chief Compliance Officer for a global investment firm focused in...space. The Deputy CCO is to support the Chief Compliance & Legal Officer in overseeing and managing the… more
- JPMorgan Chase (Tampa, FL)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... customers, and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...quo and striving to be best-in-class. As a Trade Surveillance Vice President on the Specialized Testing Team within… more