• Wells Fargo (San Francisco, CA)
    …APAC region for all lines of businesses, including trade and communications surveillance as part of the International Compliance surveillance framework. ... more at our International Careers website. Head of APAC Compliance Monitoring & Surveillance Apply now Job...APAC region. The role will provide primary coverage of trade and communications surveillance , as well as… more
    Wells Fargo (08/23/19)
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  • Wells Fargo (San Francisco, CA)
    …centre that covers global Wells Fargo sites providing remote surveillance * Proactive physical security management/regulatory compliance relating ... capital raising and advisory, financing, foreign exchange, payments, risk management, and trade finance services to support customers who conduct business in the… more
    Wells Fargo (08/23/19)
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  • Abbott Laboratories (Santa Clara, CA)
    …Responsibilities: The successful candidate must possess strong knowledge of corporate and commercial/transactional law and demonstrated expertise in drafting and ... issues of concern to Abbott; * Assisting with US and international compliance initiatives; * Developing knowledge of Abbott's businesses, products and client areas… more
    Abbott Laboratories (07/08/19)
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  • Compliance Data Management Associate-…

    JPMorgan Chase (Newark, DE)
    …team is responsible for ensuring the highest quality of data for use in Corporate Compliance Reporting, Surveillance and Monitoring. This is achieved through ... team supports its Compliance and Advisory partners across multiple functions: Trade Surveillance & Employee Personal Account Dealing focusing on the… more
    JPMorgan Chase (07/28/19)
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  • AML & Trade Surveillance Business…

    AllianceBernstein (Nashville, TN)
    We are seeking a Nashville based AML and Trade Surveillance Business Analyst/Project Manager to join our Compliance and Legal Technology group in ... Surveillance , OFAC Sanction Screening, Anti-Money Laundering and Trade Surveillance . Compliance and Legal... corporate environment. + Thorough knowledge in AML, Trade Surveillance systems and technology such as… more
    AllianceBernstein (08/17/19)
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  • Senior Advisor, PCG Compliance

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …client and trade profiling for identified targets. * Researches compliance issues regarding the surveillance mechanism, workflow, procedures, logic, ... detection systems * Developing and updating controls for monitoring of compliance surveillance functions * Experience with the Microsoft Office suite including… more
    Raymond James Financial, Inc. (08/07/19)
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  • Compliance - Market Surveillance

    Goldman Sachs & Co. (IN)
    …of this market color, develop and support a recommendation. Liaise with the Compliance Surveillance Analytics Group and Compliance Information Technology in ... potentially lead working groups that focus on enhancing controls/quality of the trade surveillance program. Preferred Qualifications: Advanced MS Excel and… more
    Goldman Sachs & Co. (07/28/19)
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  • Compliance Analyst - Surveillance

    OTC Markets Group Inc (Washington, DC)
    OTC Markets Group Inc. is now seeking a Compliance Analyst to join our Surveillance Team in Washington, DC office located in Navy Yard. The position is part of ... the Corporate Services Department responsible for managing the listing qualifications...the listing qualifications for our stock marketplaces, monitoring ongoing compliance and surveilling the market to maintain an open… more
    OTC Markets Group Inc (07/28/19)
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  • Senior Front End Engineer - Surveillance

    Bloomberg (New York, NY)
    …and documents, voice data and social media\) messages for financial, legal, and corporate compliance violations\. Our Surveillance Web interface allows firms ... shouldn't\. Companies \(e\.g\. Broker\-dealers\) have regulatory obligations to perform surveillance of electronic communications, to ensure adherence to rules such… more
    Bloomberg (07/28/19)
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  • Transaction Surveillance Associate

    SMBC (New York, NY)
    …monitoring and customer onboarding. **Responsibilities** Perform first level review of Trade Blotter and Exception Detail reports used in daily transaction ... activities. **Qualifications** 2 or more years of specialized experience in surveillance of institutional customers and foreign financial institutions trading equity… more
    SMBC (07/28/19)
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  • Corporate Treasury and Chief Investment…

    JPMorgan Chase (Newark, DE)
    …and regulations. Serve as the central contact for front office supervisory review, surveillance and compliance -related matters. . Work actively with the funding ... main lines of business (LOBs): Asset & Wealth Management, Commercial Banking, Corporate & Investment Bank, and Consumer & Community Banking. Primary responsibilities… more
    JPMorgan Chase (08/04/19)
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  • Trade Reporting Analyst, OATS and CAT

    Ally (Charlotte, NC)
    …coordination of quarterly SEC 606 order reporting process. + Cross train in Trade Reporting for Surveillance and Best Execution. **Qualifications** + FINRA ... **Position Description** This role is responsible for the required trade , order and account activity regulatory reporting in Ally Invest client accounts. This role… more
    Ally (07/28/19)
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  • Manager, Global Trade Licensing

    Raytheon (Mckinney, TX)
    …area. In addition, this position will be responsible for maintaining applicable trade compliance records in accordance with regulatory requirements and ... guidance for complex licensing strategies, program planning, and assuring regulatory compliance for an assigned portion of SAS's Intelligence, Surveillance more
    Raytheon (08/07/19)
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  • Employee Compliance Associate

    JPMorgan Chase (Newark, DE)
    …industry + Skilledat Surveillance on scalable alert-based platforms + Experiencewith trade surveillance systems is a plus + Knowledgeof industry rules and ... consumers in the United States and many of the worlds most prominent corporate , institutional and government clients under its JP Morgan and Chase brands.… more
    JPMorgan Chase (08/24/19)
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  • Director, Export Compliance

    Systems Engineering Group, Inc. (Farmingdale, NY)
    …Code 20121420 Job Description Exciting opportunity to lead and manage the international trade compliance program at an advanced technology leader in the ... point of contact vis-a-vis the US Government for international trade compliance matters; analyze and interpret US...(eg, ITAR, EAR, OFAC regulations, etc.) as well as corporate compliance programs (including export/import compliance more
    Systems Engineering Group, Inc. (08/23/19)
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  • Invest Compliance Technology Program…

    Ally (Charlotte, NC)
    …limited to, electronic storage requirements, electronic messaging retention and review, trade and fund transaction surveillance , analytics and employee records ... **Position Description** The Invest Compliance Technology Program Director will be responsible for...offering financial products for consumers, businesses, automotive dealers and corporate clients. Ally's legacy dates back to 1919, and… more
    Ally (07/28/19)
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  • ICRM Compliance Analyst - Data Quality…

    Citi (Tampa, FL)
    …to run the Data Quality Exception (DQE) process for ICRM (Sanctions, Trade Surveillance , Anti-Bribery & Corruption, Disclosure of Interest, Electronic ... The primary focus of the ICRM Compliance Analyst - Data Quality Exceptions role will...Communications Surveillance , Registrations, Employee Due Diligence, Risk Assessment, and other… more
    Citi (08/16/19)
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  • Senior Compliance Consultant - Anti-Bribery…

    MetLife (New York, NY)
    …programs for MetLife businesses relating to Anti-Money Laundering (AML), Economic & Trade Sanctions and Anti-Corruption (AB&C) compliance risks. This individual ... Support the unit's anti-money laundering, sanctions and anti-bribery & corruption compliance programs inclusive of surveillance , monitoring, risk assessment and… more
    MetLife (07/28/19)
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  • Compliance Advisor - KYC Quality Assurance

    Santander Bank, NA (New York, NY)
    …Dealer Compliance Officer with new processes for transaction monitoring surveillance + Assist the Testing Officer in obtaining documentation required for testing ... ** Compliance Advisor \- KYC Quality Assurance** **\-** **1903980**...+ Ability to read, analyze and interpret government regulations, trade journals and legal documents + Ability to resolve… more
    Santander Bank, NA (08/17/19)
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  • Compliance Officer - Control Room, Fixed…

    US Bank (Charlotte, NC)
    …engages in a range of securities-related activities primarily within the Corporate and Commercial Banking Division's business platform and supporting functions. ... debt origination, debt underwriting and sales and trading. The Control Room Compliance Officer is responsible for assisting the Control Room Manager in maintaining… more
    US Bank (07/29/19)
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