- Phillips 66 (Houston, TX)
- **Phillips 66 & YOU - Together we can fuel the future** The Commercial Trading Compliance department is a key part of the Phillips 66 Global Ethics & ... Global Commercial trading activities. Based in Houston, Texas, the **Commercial Trading Compliance ('CTC') Analyst (Gas and Power)** position, will primarily… 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)
- …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
- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance risks and ... line of defense. Also responsible for performing assessments of Citi's compliance risks; performing independent testing activities (testing and monitoring) within… more
- Motion Recruitment Partners (New York, NY)
- …documentation is ideal. **What You Will Be Doing** * Use hands-on experience with trading systems to support the operations, compliance , and governance of the ... Trading Systems Analyst New York, New York **Onsite**...* Assist in providing support services related to supervisory, compliance , surveillance , recordkeeping, and reporting obligations. *… more
- Santander US (Boston, MA)
- Head of Supervision & Trading , Boston, MA Country: United States of America **Your Journey Starts Here:** Santander is a global leader and innovator in the financial ... to Talk to You!** **The Difference You Make:** The Head of Supervision & Trading will be responsible for overseeing all trading activities and supervisory… 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
- 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)
- …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
- Wells Fargo (Charlotte, NC)
- …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
- Citizens (Iselin, NJ)
- …Fixed Income Sales & Trading team. Reporting to the Head of Sales & Trading Compliance , this role guides front office staff on regulatory and policy ... resolve exceptions related to trade reporting, order handling, and surveillance alerts. + Conduct daily reviews for best execution...to 5 years' experience in Fixed Income Sales & Trading compliance at a FINRA registered broker… more
- NextEra Energy (Juno Beach, FL)
- **Sr. Compliance Analyst - Energy Mktg** **Date:** Sep 2, 2025 **Location(s):** Juno Beach, FL, US, 33408 **Company:** NextEra Energy **Requisition ID:** 89715 ... our customers and stakeholders. Our team is skilled in market analysis, trading , risk management and delivering tailored customer solutions across North America. If… more
- Citizens (Stamford, CT)
- …in M&A advisory, investment banking, corporate finance, equity research, and sales and trading . Position Overview We are seeking a Compliance Officer to support ... & Monitoring: Conduct reviews of research reports, deal announcements, and trading activities for compliance with regulatory and internal standards. +… more
- Cargill (Houston, TX)
- … risks. * Advise on regulatory guidelines relating to commodity swaps and futures trading , and compliance with commodity trading advisor and swap dealer ... four years of related work experience + Relevant experience in Regulatory Compliance , Operations, Finance, Accounting, Audit, Legal, Sales, Trading , or related… 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 ... can provide you more specific details for this role. **Job Description:** This Director - Compliance role will be a key member of the TDS US Compliance … 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 ... who can provide you more specific details for this role. **Job Description:** This VP Compliance role will be a key member of the TDS US Compliance Regulatory… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $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
- 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