- Ares Management Corporation (New York, NY)
- …Conflicts and Trading, which oversees the regulations and guidelines applicable to trade surveillance , the handling of Material Non-Public Information, and ... and regulatory obligations. Reporting relationships Reports to : Vice President, Compliance Primary functions and responsibilities The Senior Associate will… more
- Guggenheim Securities (New York, NY)
- …unit professionals through effective communication. Rotational weekend coverage Control Room Trade Surveillance Provide advice on and monitor interactions and ... corporate leaders of the Investment Bank, to ensure full understanding of compliance with relevant reputational, regulatory, and legal requirements applicable to the… more
- TD Bank (New York, NY)
- …US Compliance team is looking for Associate candidates to join the trade surveillance team. Preferred 3-5 years of experience in surveillance of ... of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and...in the discussion * Gain an understanding of new trade surveillance modules and surveillance … more
- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase 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
- SMBC (Jersey City, NJ)
- …into the Managing Director, Compliance Data and Analytics, in the Compliance Department, Americas Division, the Data Analytics Associate performs detailed ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...and objectives. This position is focused on support for Compliance Department's E-Communications surveillance business, and will… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The Associate - Trading Business Management (TBM) is responsible for helping TD Securities ... requiring escalation + Administering Global Markets Swap Dealer and Volcker Business Compliance Programs; and Codes of Conduct + Assist in administering Global… more
- Lowe's (Holmdel, NJ)
- …safe, and stocked with the products our customers need. As a Merchandising Service Associate - Plant Service Lead, this means focusing on Live Plants while: (1) ... are safe, clean, and easy for customers to access. The Merchandising Service Associate - Plant Service Lead is primarily responsible for overseeing execution of all… 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 ... Sciences and Engineering (ESE) is responsible for conducting inspections to ensure compliance with various rules and regulations aimed at improving the operating… 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 ... Sciences and Engineering (ESE) is responsible for conducting inspections to ensure compliance with various rules and regulations aimed at improving the operating… 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 ... for all places of employment and public spaces. BFSCS also monitors compliance with regulations in other facilities, such as tattoo parlors, correctional facilities,… more
- Lowe's (Hillsborough, NJ)
- …and promptly communicates them to management and/or Asset Protection * Ensures compliance with housekeeping standards and programs (eg, Zone Recovery) to maintain ... Zebra phone, telephone, paging system, copiers, fax machines, computers, CCTV surveillance system, key cutter, panel saw, paint mixer, flooring cutters, compacter… more
