- TD Bank (New York, NY)
- …Compliance team is looking for Vice President candidates to join the trade surveillance team. Preferred 5-10 years of experience in surveillance of ... members should participate in the discussion * Gain an understanding of new trade surveillance modules and surveillance tools * Keep current on emerging… more
- SMBC (New York, NY)
- …competitive portfolio of benefits to its employees. **Role Description** The Vice President , Compliance Transformation Project Manager manages Compliance ... environment, and maintaining effective communications and reporting. The successful Vice President , Compliance Transformation Project Manager has demonstrated… more
- Wells Fargo (New York, NY)
- …Wells Fargo Corporate and Investment Banking (CIB) Markets COO division is seeking a Vice President to join the CIB Markets Business Aligned Supervisory Support ... to provide expertise to key aspects of the bank's controls and trade surveillance framework within the First Line business. The successful candidate will report… more
- BMO Financial Group (New York, NY)
- …Regulatory Services Organization and is specifically responsible for the monitoring of trade floor activities and ensuring these activities adhere to all applicable ... CMS, and Compliance, the VP will be responsible to review assigned surveillance reports, validate activity and document results. Primary products covered will be… more
- Citigroup (New York, NY)
- …lines meet best in class standards + Coordinate requirements for Citi's Surveillance , Monitoring and Regulatory Tool (SMaRT) + Contribute to global regulatory ... IT work slate + Work on incorporating booking control requirements into various trade capture systems + Manage annual review for size and price control calibration… more