- Bank of America (New York, NY)
- Compliance and Operational Risk Manager - Trade Surveillance New York, New York;Charlotte, North Carolina **Job Description:** At Bank of America, we are ... Written Communications **Additional Competencies:** + Experience with, and calibration of, Trade Surveillance programs in Equities, Futures, Fixed Income and/or… more
- TD Bank (New York, NY)
- …areas:** + Capital Markets (Familiarity with Asset Classes and Products) + Compliance (AML, Trade Surveillance and Supervision) **Technical knowledge ... or other AML surveillance vendor solutions or SMARTS/Trading Hub or other trade surveillance vendor platform + Understanding of Workflow Engines + Detailed… more
- JPMorgan Chase (New York, NY)
- …Surveillance Program team, you will manage key products under CCOR's Global Compliance Trade and Electronic Communications Surveillance Program. Your role ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...8+ years of related experience. + Experience in a Trade Surveillance analyst or product role, or… more
- Bank of America (New York, NY)
- …in development and design of the scripts used to review the alerts. The Trade Surveillance analyst collaborates with Compliance and Operational Risk on ... Trade Surveillance Analyst New York, New...with Risk, Compliance , and SMEs to conduct trade Surveillance . The Trade ...Compliance , and SMEs to conduct trade Surveillance . The Trade Surveillance analyst… more
- Bank of America (New York, NY)
- …**Minimum Education Requirement:** Null Job Description: The Sr Trade Surveillance lead, in collaboration with Risk and Compliance officers, ensures ... area of expertise for Compliance and Operational Risk. The Sr Trade Surveillance lead consults with compliance officers and operational risk to execute… more
- Citizens (Stamford, CT)
- …is seeking a highly skilled Compliance Director to lead our advisory and trade surveillance efforts. Our Compliance team is vital to upholding the ... Options, and Fixed Income markets. + 5-10 years of experience in trade surveillance and/or compliance advisory roles. + Strong analytical skills, including… more
- Bank of America (New York, NY)
- Audit Supervisor - Global Markets Trade Surveillance /Market Conduct New York, New York **Job Description:** At Bank of America, we are guided by a common purpose ... **Required Qualifications:** + 4-5 years' in audit or in a compliance /business controls/risk management role with specific experience/coverage of trading desk… more
- Wolters Kluwer (New York, NY)
- …will report to the Senior Director Product Management * Health Clinical Surveillance & Compliance **RESPONSIBLITIES** Manage the product lifecycle for Sentri7 ... You will be responsible for overall product lifecycle management for the Surveillance products represented by the Sentri7 suite name - Sentri7 Pharmacy, Sentri7… more
- HSBC (New York, NY)
- …issues with setting expectation to multiple businesses simultaneously + Respond to Compliance , Legal, Surveillance , and Business requests with the utmost ... we all share. The objective of the Voice Recording Trade Floor Lead role is to manage all the...that all of the voice recording systems are in compliance with HSBC internal standards as well as complying… more
- HSBC (New York, NY)
- …setting expectation to multiple businesses simultaneously + Responsible for attending to Compliance , Legal, Surveillance , and Business requests with the utmost ... **Description** Trade Floor Voice Subject Matter Expert Our purpose...planning, IT governance, and managing life cycle expectations In compliance with applicable laws, HSBC is committed to employing… more
- Marex (New York, NY)
- …Procedures. + Provide Compliance Advisory services for US Marex Solutions Trade Surveillance process. + Provide Compliance Advisory services for ... www.marex.com (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Executive Compliance Officer - Solutions Advisory position will provide … more
- TEKsystems (New York, NY)
- …Regulatory Reporting (Exception Reports) and Compliance within Equities and OTC Trade Surveillance . + Bloomberg Experience. + Background with Equities is a ... by collaborating with traders, developers, and teammates. + Evaluating surveillance and reporting processes, ideating concrete proposals, and championing these… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... an important bridge to this key global market for trade and investment flows across the Americas and the...the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and… more
- SMBC (New York, NY)
- …appropriate training materials and conducting trainings, as required. + Coordinate with Compliance surveillance and testing teams, including by reviewing ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...the infrastructure advisory team and partner with the overall compliance team and management in communicating the company's culture… more
- Tradeweb (New York, NY)
- …of the compliance program such as, Personal Account Dealings, Training, Surveillance and monthly reporting to senior management. Depending on any subject matter ... Tradeweb Compliance is looking for a junior to mid-level...than 65 countries across the globe. Since our first trade in 1998, we have helped transform and electronify… more
- MetLife (New York, NY)
- … programs for MetLife businesses relating to Anti-Money Laundering (AML), Economic & Trade Sanctions and Anti-Bribery & Corruption (AB&C) compliance risks. This ... defense for risk identification, measurement, and mitigation. Within Global Risk, Compliance Risk Management (CRM) provides for shared ownership of risk management… more
- Bank of America (New York, NY)
- Dodd Frank EAC Compliance and Operational Risk Executive New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to help make ... us! **Job Description:** This job is responsible for overseeing the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy and… more
- City of New York (New York, NY)
- …organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent ... seeks to hire an Administrative Manager, NM/L-III (Senior Director, Office of Compliance Services). DUTIES WILL INCLUDE BUT NOT BE LIMITED TO: Establishing a… more
- Capital One (New York, NY)
- …equity research, investment banking and mergers and acquisitions. + Experience with trade surveillance of fixed income (asset backed securities including ... (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance Advisor...New York Compliance Advisor Senior Manager The Compliance Advisor Senior Manager will report directly to the… more
- CIBC (New York, NY)
- …visit CIBC.com (https://www.cibc.com/en/about-cibc.html) The Senior US Equity Derivatives Compliance Officer is responsible for: 1) administering CIBC's policies ... Markets Equities and Equity Derivatives businesses; (2) taking reasonable steps to ensure compliance with all SEC, FINRA, and all other relevant SRO (eg Cboe)… more