- SMBC (New York, NY)
- …years of experience in the financial services industry, with background in Compliance surveillance preferred + Bachelor's degree preferred; law degree preferred ... SMBC Group is a top-tier global financial group...its employees. **Role Description** This senior role within the Compliance Department supports the Head of Surveillance ,… more
- Morgan Stanley (New York, NY)
- …to diversifying its workforce (M/F/Disability/Vet). **Job:** **Other* **Title:** *Control Group - Sales & Trading/ Surveillance * **Location:** *New York-New ... more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people...important part of our culture. Department Overview: The Global Compliance Department manages a Firmwide Compliance Risk… more
- Morgan Stanley (Baltimore, MD)
- …our culture. As a Compliance Professional in Institutional Securities Trade Surveillance , the candidate will support the group 's Quality Management (QM) ... Group within Trade Surveillance >Represent Trade Surveillance on Firm-wide, Legal & Compliance , and...of relevant working experience preferably in conducting / supervising market abuse surveillance or related activities in… more
- Mizuho Corporate Bank (New York, NY)
- Summary The AML Surveillance Analyst is responsible for ensuring efficient identification and monitoring of suspicious activities and transaction in the Bank and ... ensure timely reporting of suspicious transactions to the Anti-Money Laundering (AML) Compliance Manager. The Analyst is responsible for reviewing the AML cases… more
- Hawaiian Airlines (Honolulu, HI)
- …our islands to the world! * Position Summary* The Auditor - Regulatory Compliance & Quality Assurance, reports to the Supervisor, Regulatory Compliance & ... Quality Assurance and is responsible to conduct and manage surveillance of the performance of the Hawaiian Airlines' (HAL) Continuous Airworthiness Maintenance… more
- SMBC (New York, NY)
- SMBC Group is a top-tier global financial group ....the current compensation paid in their geography and the market for similar roles at the time of hire. The ... Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including...reporting related to the management of the program, credit surveillance , and portfolio management. SMBC is a sponsor of… more
- Federal Reserve System (New York, NY)
- …+ Experience in assessing, validating, designing, or managing various compliance risk management controls, including monitoring/ surveillance systems such ... You will work in an environment with a diverse group of experienced professionals to foster and support the...as trade surveillance and market conduct risk programs, is a plus. + Strong… more
- S&P Global (New York, NY)
- …of the Compliance Monitoring and Exams part of S&P Global Ratings Compliance . Its members apply standardized monitoring and surveillance protocols to help ... of professional experience in the field of Control Room Compliance , Compliance Monitoring or Surveillance ...that are essential to translating complexity into clarity so market participants can uncover opportunities and make decisions with… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 193881 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... our clients an important bridge to this key global market for trade and investment flows across the Americas...of wholesale products and services offered by the Scotiabank Group . Be part of an innovative, Global Capital Markets… more
- Bank of America (New York, NY)
- Business Control Manager-Broker Dealer Customer Protection Manager-Global Market Operations New York, New York **Job Description:** At Bank of America, we are guided ... Summary** The role resides within the Client Asset Control Group (CACG) Americas (AMRS) region. CACG AMRS is a.../ SEA Rule 15c3-3. * Issue Management * Monitoring, Surveillance , and Testing * Risk Management - 5+ years… more
- Morgan Stanley (Baltimore, MD)
- …Activities Compliance (GPAC) programs. - The Global Regulatory Relations Group (GRRG) is responsible for strategic and centralized management of the supervisory ... more than 1,200 offices in 43 countries. As a market leader, the talent and passion of our people...is an important part of our culture. Legal & Compliance Division (LCD) comprises of Legal, Compliance ,… more
- Morgan Stanley (New York, NY)
- …these reviews, eg, best execution, frontrunning, options ticket timeliness; * Liaising with Compliance Surveillance teams to review escalations and assist in the ... Equity Risk Management team, specifically within the Regulatory Control Group (RCG). RCG is responsible for the overall supervisory...disposition of market abuse surveillance alerts; * Identifying, designing,… more
- SMBC (New York, NY)
- …for optimized efficiency and productivity + Set strategic priorities with the Head of Compliance Surveillance to identify areas of focus and identify metrics for ... SMBC Group is a top-tier global financial group ....the current compensation paid in their geography and the market for similar roles at the time of hire. The… more
- SMBC (White Plains, NY)
- SMBC Group is a top-tier global financial group ....the current compensation paid in their geography and the market for similar roles at the time of hire. The ... Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including...an experienced Technology Manager to build and lead our Compliance Technology initiatives. In this position you will have… more
- Scotiabank (New York, NY)
- Manager, Markets Compliance Officer **Requisition ID:** 198261 **Salary Range:** 85,700.00 - 159,100.00 _Please note that the Salary Range shown is a guideline only. ... our clients an important bridge to this key global market for trade and investment flows across the Americas...of wholesale products and services offered by the Scotiabank Group . Be part of an innovative, Global Capital Markets… more
- Sanofi Group (Columbus, OH)
- …protocol development, when needed on various types of studies: long-term surveillance , compliance , pharmacovigilance, and effectiveness studies. + Identifies ... colleagues, Medical Information and Commercial Operations) while maintaining full compliance with relevant company, industry, legal and regulatory requirements +… more
- Sanofi Group (Bridgewater, NJ)
- …CSH in ensuring that local PV activities in the assigned country are performed in compliance with the Global PV policies, as well as global, regional and local PV ... safe and appropriate use of CHC products on the market in the assigned country. + Builds close and...safety topics within the local organization. + Maintain local compliance metrics and ensure data capture in the appropriate… more
- Sanofi Group (Bridgewater, NJ)
- …the process owner for case management globally in the Company, accountable for group wide alignment of ICSR management standards. This position is responsible for ... PV teams, HA (Health Authorities), partner companies and other functions in compliance with global procedures and local regulatory PV requirements + To… more
- SMBC (White Plains, NY)
- …The FIU Associate is responsible for the delegation and oversight of day-to-day compliance efforts related to transaction surveillance . This may include the ... VP, the FIU Associate is responsible for the day-to-day compliance efforts related to transaction surveillance , including...(especially AML, BSA and OFAC). + Expert-level knowledge of market practices related to compliance operations. +… more
- Terumo Medical Corporation (Elkton, MD)
- …Location: Elkton, MD, US Company: Terumo Medical Corporation Department: Post Market Surveillance Terumo Medical Corporation (TMC) develops, manufactures, and ... Systems and Terumo Medical Products. **Job Summary:** The Manager Quality Engineering, Post Market Surveillance will manage the Post Market Complaints… more