- 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
- Guardian Life (New York, NY)
- …best execution + Collaboration with Compliance on regulatory reporting and trade surveillance + Document procedures and recommend operational improvements + ... responsible for the full lifecycle of order entry and trade support across a range of asset classes including...via AnnuityNet + Review client transactions for accuracy and compliance (eg, mutual fund share classes, breakpoints, ROA, LOI)… 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
- 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