- Unknown (New York, NY)
- Vice President , Compliance Manager, Trade Surveillance ,...Role The Company is seeking a VP Compliance Manager for Trade Surveillance ... will be responsible for maintaining and enhancing the comprehensive Trade Surveillance program, ensuring it is in...in a complex regulatory environment. The VP Compliance Manager will also be involved in surveillance… more
- Unknown (New York, NY)
- Vice President , Compliance Manager, Trade Surveillance ...Role The Company is seeking a VP Compliance Manager for Trade Surveillance ... communications. The successful candidate will be responsible for maintaining the compliance surveillance framework, managing large surveillance projects,… more
- Unknown (Tampa, FL)
- Vice President , Compliance & Operational Risk...Classifications B2B About the Role The Company is seeking a Trade Surveillance Vice President ... to join their Specialized Testing Team within the Compliance , Conduct, and Operational Risk (CCOR) organization. The successful...qualifications include at least 3 years' experience in a Trade or Trade Surveillance role.… more
- Unknown (Tampa, FL)
- Vice President , Compliance & Operations Risk...Classifications B2B About the Role The Company is seeking a Trade Surveillance Vice President ... to join their Specialized Testing Team within the Compliance , Conduct, and Operational Risk (CCOR) organization. The successful...at all levels is essential. A background in a Trade or Trade Surveillance role… more
- Unknown (New York, NY)
- Assistant Vice President of Control Room About...in the Control Room should have a background in trade surveillance or examinations and be interested ... About the Role The Company is seeking an Assistant Vice President for its Control Room. The...in the office. The role is pivotal in ensuring compliance with regulatory standards and internal policies, and the… more
- TD Bank (New York, NY)
- …Description:** The TD Securities US 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 specialists/professionals providing advice,...of issues + Network with other colleagues in Global Surveillance and the wider Compliance teams and… more
- TD Bank (New York, NY)
- …The TD Securities US Compliance team is looking for Vice President candidates to join the trade surveillance team, specializing in Fixed ... Foreign Exchange and Commodities, Equities Options and Futures. The VP Compliance TDS oversees/leads a team(s) of...in the discussion + Gain an understanding of new trade surveillance modules and surveillance … more
- TD Bank (New York, NY)
- …regulatory compliance by developing and maintaining a comprehensive Trade Surveillance program, including identifying emerging risks, regulatory developments ... This position will focus on the trade surveillance portfolio and related initiatives. The VP ... surveillance portfolio and related initiatives. The VP Compliance TDS oversees/leads a team(s) of… more
- TD Bank (New York, NY)
- …This role requires experience within the financial services industry, specifically in compliance , trade surveillance and/or capital markets domains including ... languages, databases, and development frameworks. . Knowledge of financial industry trade surveillance , market abuse monitoring and/or global markets domain… more
- JPMorgan Chase (Tampa, FL)
- …outside the box, challenging the status quo and striving to be best-in-class. As a Trade Surveillance Vice President on the Specialized Testing Team ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...and skills** + 3+ years of experience in a Trade or Trade Surveillance role.… more
- TD Bank (New York, NY)
- …other aspects of the Core Compliance program as needed. The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, ... more specific details for this role. **Job Description:** This VP , Compliance is a key member of...market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. +… more
- JPMorgan Chase (Jersey City, NJ)
- …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 ... compliance and operational resilience, collaborating with experts across technology,...journey. As a Data Owner Lead in the Market Surveillance (Transactions & Communications) function, you will play a… more
- JPMorgan Chase (New York, NY)
- … compliance advice and guidance on regulatory topics + Review and disposition trade alerts escalated from Trade Surveillance and reporting/escalation to ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing ... behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding… more
- Citigroup (New York, NY)
- …Non-Financial Risk group and more specifically within Conduct Risk. Predominantly operating trade surveillance within the Spread Products business, but there ... enable growth and economic progress. **Team/Role Overview** This SP Trade Monitoring role sits in the First Line of...+ 5-10 years' experience in credit related middle office, surveillance , risk management and/or regulatory compliance in… more
- Pixalate, Inc. (New York, NY)
- VP of Demand Generation & Event Marketing (Ad-Tech Experience Required) Location: NYC Metropolitan Area, Hybrid Pixalate offers the market-leading fraud protection, ... privacy, and compliance analytics platform for Connected TV (CTV), Mobile Apps,...been used to unearth multiple high-profile criminal and illegal surveillance cases, including: + Gizmodo: An iCloud Feature Is… more
- Raymond James Financial, Inc. (New York, NY)
- …client interaction and communication, training and staff development, systems integration, trade surveillance . + Advanced math and analytics sufficient for ... + Analyzes and provides quantitative analysis of Raymond James (RJ) historical trade data from several sources. + Creates back-testing models to evaluate and… more
- Northrop Grumman (Palmdale, CA)
- …contributions as well as allow employees to share in company results. Employees in Vice President or Director positions may be eligible for Long Term Incentives. ... of health and safety professionals with a focus on regulatory compliance , injury prevention and occupational health services. Responsibilities include developing and… more
- SMBC (Jersey City, NJ)
- …the FIU VP , the FIU Associate is responsible for the day-to-day compliance efforts related to transaction surveillance , including the completion of assigned ... is responsible for the delegation and oversight of day-to-day compliance efforts related to transaction surveillance . This...and procedures. **Role Objectives** + Working with the FIU VP , ensures department's compliance with all regulatory… more
