- TD Bank Group (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
- BitGo (New York, NY)
- …provider of digital asset solutions, delivering custody, wallets, staking, trading , financing, and settlement services from regulated cold storage. Since ... www.bitgo.com. We are seeking a proactive and detail-oriented Anti-Money Laundering Surveillance Manager to lead our Financial Intelligence Unit's (FIU) transaction… more
- CAIS (New York, NY)
- …Serves as the primary compliance point of contact for the structured notes trading desk -Provide real-time regulatory and compliance advice to trading ... and resolve potential risk control gaps and deficiencies Conduct testing and surveillance of business activities to ensure ongoing compliance with policies,… more
- Brookfield Asset Management, Inc. (New York, NY)
- …Code of Ethics program, ensuring proper documentation and resolution Political contributions compliance - utilize illumis to conduct surveillance reviews and ... work assignments and exposure to diverse businesses. Job Description The Position: AVP, BOWS Compliance The Firm is seeking to add a Compliance resource to the… more
- HSBC (New York, NY)
- …classes) and support functions (market risk, liquidity risk , finance, operations, surveillance , regulatory compliance , etc) Exhibit knowledge of key regulatory ... and clearing, as well as the supporting functions (eg, Market Operation, Trade Surveillance , Traded Risk and Product Control). The team also covers Global Research,… more
- Allstate (Chicago, IL)
- …multiple cross-asset teams through a combination of fundamental views, market surveillance , and technical tools Assist in establishing duration and curve positioning ... using Blackrock Aladdin and proprietary tools Responsible for maintaining full compliance with all mandate's guidelines and policies Derivatives Manage and implement… more
- Mindlance (New Castle, DE)
- …and manual cases for activity conducted by Client clients. The Senior Compliance Analyst is responsible for managing a caseload of investigations, perform analysis ... with other CRIU units, ACRM, the Business, CSIS, AML Legal, Trade Surveillance , and Law Enforcement, where applicable. Qualifications *Bachelor's Degree Required or… more
- 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
