- TD Bank (Charlotte, NC)
- …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 (New York, NY)
- …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
- 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
- First National Bank of Omaha (Minneapolis, MN)
- …high-level operational, compliance , and workflow support to the Fixed Income Trading Desk. The position ensures the integrity of trading processes, enhances ... individual in this role acts as a central coordination point between Trading , Operations, Compliance , Sales, and counterparties. **About This Role:** **ESSENTIAL… 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
- 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
- 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:** $150,000 - $200,000 USD TD is...surveillance of communications and trading as it relates the market manipulation, collusion and… more
- JPMorgan Chase (Jersey City, NJ)
- … behavior. Working closely with Line of Business (LOB) management and LOB Compliance stakeholders, as well as global/regional Surveillance teams, you will be ... tasks in a high-paced environment. **Job Responsibilities** + Review surveillance output and analyze trading and market...skills** + Bachelor's Degree + 3+ years of Trade Surveillance or other compliance , regulatory, or related… 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)
- …ex- trading experience, as well as experience in trade surveillance scenario design, implementation, parameter setting, alert dispositioning and support with ... experience, education **Desired Qualifications:** + Experience operating rule-based and risk-based Surveillance tools + Experience with Trading + Excellent… more
- TD Bank (New York, NY)
- … technology platform. The role is pivotal in ensuring that our surveillance solutions effectively monitor front-office trading activity across multiple asset ... requirements and availability of all critical data elements.** **Work closely with surveillance product owners and compliance stakeholders to translate business… 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
- 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
- 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
- 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
- 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
- Citizens (Stamford, CT)
- …Association (NFA). The Compliance Officer will work closely with senior compliance officers to monitor trading activity, review policies and procedures, and ... regulatory requirements under the Commodity Futures Trading Commission (CFTC) and National Futures...dynamic environment. Key Responsibilities + Conduct trade and communications surveillance , compliance testing, and escalate potential issues.… 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
- 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