- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join their team in New ... + Documented UAT Review of new scenarios. + Provide Surveillance expertise to BD and FCM Advisory Compliance... Surveillance expertise to BD and FCM Advisory Compliance , adding context and counsel to the objective response.… more
- Wells Fargo (New York, NY)
- …Join us! **About this role:** Wells Fargo is seeking a Lead Control Management Officer within FICC Trade Surveillance . Learn more about our career areas and ... Mortgage Servicing, FCM, and Prime Services businesses. The Trade Surveillance FICC Subject Matter Expert (SME) will report to...+ Manage key relationships with Business Heads, Desk Heads, Compliance , COO and CIB Control for Rates + Represent… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform ... issues with transparency. **Qualifications:** + 8+ Years serving in a compliance or surveillance role within financial services preferred + 3+ in a Control… more
- TD Bank (New York, NY)
- …communication and/or escalation of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and showcase presence * Provide ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $150,000 USD TD is...is looking for Associate candidates to join the trade surveillance team. Preferred 3-5 years of experience in … more
- TD Bank (New York, NY)
- …bank/systemically important financial institution in the US. 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
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... the Compliance Manual and Written Supervisory Procedures. + Provide Compliance Advisory services for broker-dealer Trade Surveillance process. + Provide… more
- Marex (New York, NY)
- …For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide ... US Broker Policies and Procedures and Written Supervisory Procedures. + Provide Compliance Advisory services for US Broker Trade Surveillance process. +… more
- JPMorgan Chase (New York, NY)
- …the box, challenging the status quo and striving to be best-in-class. As a Compliance Risk Management Senior Officer within the JPM Wealth Management team and ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...and implement appropriate corrective actions + Partner with global/regional Surveillance teams in promoting our global program and its… more
- BMO Financial Group (New York, NY)
- …the office each week is the expectation Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and ... and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of… more
- Bank of America (New York, NY)
- GCIB Business Controls Officer , Communications Review & Enterprise Programs Associate / VP New York, New York **Job Description:** Global Corporate & Investment ... executive-level reporting to senior managers, including preparing metrics, and reporting surveillance results to senior management to identifying potential trends or… more
- JPMorgan Chase (New York, NY)
- …of security and safety policies and procedures, regulatory and legislative compliance , Security Guard management, alarm response, branch and corporate building ... physical crime investigations, workplace violence, fire and life safety. As a Security Officer within the Global Security Team, you will be responsible for ensuring… more
- Bank of America (New York, NY)
- …Active Listening + Data and Trend Analysis + Issue Management + Monitoring, Surveillance , and Testing + Regulatory Compliance **Shift:** 1st shift (United States ... Vice President - Credit Risk Officer , Global Markets Credit New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to help… more
- Pixalate, Inc. (New York, NY)
- Chief Operating Officer (COO), ad-tech, NY The COO will serve as a key member of our executive team, responsible for overseeing and optimizing our Sales, Customer ... these functions. Pixalate offers the market-leading fraud protection, privacy, and compliance analytics platform for Connected TV (CTV), Mobile Apps, and Websites.… more
- Allied Universal (Jersey City, NJ)
- …ANALYSIS AND MONITORING/ INCIDENT RESPONSE:INTERPRETING EVENTS AND ESCALATION** MONITOR SURVEILLANCE AND CAMERA SYSTEMS, ALARMS FROM ACCESS CONTROL AND INTRUSION ... reports from our Access Control System to support Investigations, Audit and Compliance , and office utilization among other business requirements as needed. Job… more
- Bank of America (New York, NY)
- …+ Active Listening + Issue Management + Liquidity Management + Monitoring, Surveillance , and Testing + Regulatory Compliance **Shift:** 1st shift (United ... including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer (CFO) Group, we also… more
- New York State Civil Service (New York, NY)
- …needed to support an investigation;* Develops leads and informants and conducts surveillance and engages in undercover work often using a camera, recording device, ... investigation;* Participates in joint agency operations targeting patterns of non- compliance or violations by regulated entities;* Prepares factual written reports… more
- City of New York (New York, NY)
- …mission is to safeguard the health of New Yorkers through identification, surveillance , treatment, control, and prevention of infectious diseases, which is achieved ... quality assurance program within section and PHL-wide. Insurance of section's compliance with regulatory requirements. - Maintain and provide technical subject… more
- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorganChase. As part of Risk Management and Compliance , you are at the center of keeping JPMorganChase strong and resilient. You help the ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and… more