- 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
- Morgan Stanley (Baltimore, MD)
- …of our culture. As a Compliance Professional in Institutional Securities Trade Surveillance , the candidate will support the group's Quality Management (QM) ... Trade Surveillance >Represent Trade Surveillance on Firm-wide, Legal & Compliance , and...Trade Surveillance on Firm-wide, Legal & Compliance , and Technology data governance forums >Collaborate across functional… 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
- Citizens (Westwood, MA)
- …Compliance Associate is responsible for working within Citizens Securities, Inc.'s Compliance Department to conduct trade surveillance , suitability ... activity according to the established supervisory structure within the firm's trade surveillance solution. + Conduct daily review of employee communications… 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 (Charlotte, NC)
- …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 (Charlotte, NC)
- …**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
- Bank of America (Charlotte, NC)
- …Join us! **Job Description:** Daily responsibilities of the Compliance Surveillance Specialist include execution of trade - surveillance alerts, ... in other coverage areas in the medium and long term. The Compliance Surveillance Specialist has intermediate knowledge of insider-trading surveillances, and… more
- Insight Global (New York, NY)
- …banking customers. This person will join the Internal Audit Engineering team for Compliance , Trade Surveillance , & Wealth Management. This AML Quant ... their technical or modeling background. They will also help strategize coverage on surveillance and work with Project Managers to complete tasks. This position is… 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
- JPMorgan Chase (Plano, TX)
- …team, you will spearhead the development and enhancement of our cutting-edge trade surveillance products. This pivotal role combines deep technical expertise ... and vendors + Leads the design and development of trade surveillance software solutions that monitor and...surveillance products, ensuring alignment with business goals and compliance standards + Ensures rigorous quality control and … more
- MUFG (Irving, TX)
- … Surveillance VP include the following: + Working with various trade surveillance and electronic communication monitoring automated tools, conducting reviews ... + At least 7+ years of experience in banking or broker-dealer operations or compliance + Previous experience with any monitoring tools a strong plus + Series 7… more
- Marex (New York, NY)
- …more information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Surveillance Compliance officer to join their team in New York. ... between Marex and regulatory bodies. Responsibilities: + Provide E-communications, Voice, and Trade Surveillance review services to US Broker-Dealer (BD) and FCM… 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 (Getzville, NY)
- …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
- 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
- Insight Global (Salt Lake City, UT)
- …and potentially lead working groups that focus on enhancing controls/quality of the trade surveillance program We are a company committed to creating diverse ... of ours. This group sits within the Financial Crime Compliance Group, a centralized surveillance function within...inquiries, as well as project-based work on building out trade - surveillance parameters underpinning new surveillance … 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
- SMBC (Jersey City, NJ)
- …will report to the Lead of Transformation, Audit and Reporting within the Compliance Communications Surveillance function and will be instrumental in developing, ... Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the… more
- Citigroup (Getzville, NY)
- …supervisory post trade review + Reviewing employee trades to ensure compliance with appropriate rules, regulations and firm policies which will include analysis ... Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Personal Trading & Outside Activities team responsible for assisting with… more