- 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
- SMBC (Jersey City, NJ)
- …AML oversees key processes and risks of the KYC Department. The CPAD Market Surveillance team performs centralized trade surveillance for the America's SMBC ... development initiatives. **Role Objectives** + Report to the Fixed Income Trade Surveillance Manager for day-to-day surveillance assignments; +… 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
- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Trade Surveillance team responsible for the design, ... Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance...duties may be assigned as required. **Job Family Group:** Compliance and Control **Job Family:** Surveillance **Time… 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 (New York, NY)
- …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
- 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)
- …matter The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance , e-communications, and ... The senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team is responsible for the oversight for surveillance… more
- Citigroup (Jersey City, NJ)
- …The ICRM Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance , e-communications and ... Serves as a compliance risk manager for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and… 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
- Citigroup (Jersey City, NJ)
- …Employee Compliance program encompasses a number of portfolios including trade surveillance , e-communications and voice surveillance , employee personal ... Serves as a compliance risk officer for Surveillance Intelligence Unit (SIU) within Independent Compliance Risk Management (ICRM)'s Surveillance and… 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