- Mizuho Corporate Bank (New York, NY)
- About the Role The individual will be joining the Compliance Surveillance team. The surveillance team is responsible for monitoring trading in all asset ... respond to alerts identified on the Firm's suite of Trade surveillance platforms. Assess the current ...TRAQS (ORF & TRACE) Knowledge of best practices, and surveillance procedures of securities industry compliance reviews… more
- Bloomberg (New York, NY)
- …have:** + A minimum of 7 years' derivatives, swaps and/or commodities products compliance + Experience conducting trade surveillance , real-time market ... SEF Compliance Surveillance Lead and Advisory ...collaboration and teamwork. **We'll trust you to:** + Conduct trade surveillance monitoring, real-time market monitoring and… 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
- Truist (New York, NY)
- …the Surveillance program within CIB. The team performs trade surveillance activities, working with traders, compliance , and other risk functions to ... review trade surveillance alerts and investigate potential compliance issues. Responsible for the selection, training, development, and evaluation of the… more
- Citigroup (Jersey City, NJ)
- …. The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance , e-communications and voice ... Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and… more
- Citigroup (Jersey City, NJ)
- …. The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance , e-communications and voice ... Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and… more
- Morgan Stanley (New York, NY)
- …Investment Management is seeking an Associate to join its US Portfolio Surveillance /Investment Compliance team within the COO office. The successful candidate ... trading process. *Qualifications - External* * 3 - 5 years relevant portfolio surveillance /investment compliance and client servicing needs * Knowledge of … more
- Bank of America (New York, NY)
- …+ Assist in the execution of regular and fundamental reviews of the firm's trade surveillance processes and procedures and implement changes where necessary; + ... Compliance & Op Risk Manager - EQ/Futures New York,...Help to drive the firm's trade surveillance change program; + Assist with the monitoring of current… more
- Guardian Life (New York, NY)
- The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as well as ... having responsibility for the overall compliance framework for PAS as a dually registered broker-dealer...a team of associates providing guidance to business partners; oversight/ surveillance to the firm's daily transactions and assist in… 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
- Morgan Stanley (New York, NY)
- …sanctions and have established a strong Oversight program covering communications and trade surveillance and testing of policies, processes, and controls. They ... the Non-Financial Risk (NFR) Department of the Legal and Compliance Division provide a wide range of services to...Firm's businesses. Background on the Team The Americas ISG Compliance team within LCD's NFR Department helps manage the… 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 ... perform tasks and assignments in the fields of Cyber security Awareness, Governance, Compliance , and other relevant and required duties for the Cyber security… more
- Bank of America (New York, NY)
- Compliance and Operational Risk Manager- Control Room Charlotte, North Carolina;New York, New York **Job Description:** At Bank of America, we are guided by a common ... **Job Description:** This job is responsible for the execution of the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy and… more
- Federal Reserve System (New York, NY)
- …overall safety and soundness of supervised institutions + Ensure supervised institutions' compliance with relevant laws and regulations + Facilitate the stability of ... (FBOs) in the Second District. **Your role as a Compliance Risk Supervising Examiner:** You will work in a...in one or more areas, such as private banking, trade finance, correspondent banking, cryptocurrency, data/system validation, and payment… more
- SMBC (New York, NY)
- …for optimized efficiency and productivity + Set strategic priorities with the Head of Compliance Surveillance to identify areas of focus and identify metrics for ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...its employees. **Role Description** This senior role within the Compliance Department manages the control areas related to regulatory… 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 ... and adults against numerous vaccine preventable diseases. The Bureau's School Compliance Unit (SCU) is responsible for monitoring and enforcing compliance… 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 ... Under the direction of the Controller, the Senior Director for Fiscal Compliance and Strategic Initiatives, will assume oversight responsibility for the respective… 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 ... the administrative misconduct and incompetency of Child Care field inspector in compliance with IT security policies and internal security Conduct IT security… 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 ... Hygiene is seeking to hire 3 Grants Development and Compliance Analysts at $82,506. Duties will include but not...not limited to: college transcript, experience verification or professional trade licenses. If after your interview you are the… more