- Unknown (New York, NY)
- Head of Compliance , Trade Surveillance and Communications About the Company Premier broker dealer Industry Insurance Type Privately Held About the Role ... The Company is seeking a Head of Compliance for Trade Surveillance and Communications. The successful candidate will be responsible for leading a team of… more
- Unknown (New York, NY)
- Managing Director, Head of Compliance , Trade Surveillance and Communications About the Company Prestigious broker dealer Industry Insurance Type ... Held About the Role The Company is seeking an MD, Head of Compliance , Trade Surveillance , and Communications to lead a team of compliance … more
- Unknown (New York, NY)
- …oversight to ensure compliance , and overseeing the enhancement of the existing trade surveillance program for ETPs. This role also involves building and ... Head of Exchange Traded Products Surveillance ...as well as to develop and maintain a robust trade surveillance program. Experience in leading and… more
- Unknown (New York, NY)
- …be responsible for overseeing and enhancing the FX, commodities, and derivatives trade surveillance program, ensuring compliance with regulatory ... Head Of Foreign Exchange (FX) & Commodities Surveillance About the Company Prominent investment bank Industry Investment Banking Type Privately Held About the… more
- Unknown (New York, NY)
- Vice President, Compliance Manager, Trade Surveillance , Portfolio Management & Surveillance Initiatives About the Company Nationally acclaimed banking ... About the Role The Company is seeking a VP Compliance Manager for Trade Surveillance ...delivering on project and departmental issues. Hiring Manager Title Head of Surveillance Initiatives and Portfolio Management… more
- Unknown (New York, NY)
- Vice President, Compliance Manager, Trade Surveillance Initiatives & Portfolio Management, Electronic Communications About the Company Nationally acclaimed ... About the Role The Company is seeking a VP Compliance Manager for Trade Surveillance ...risk and compliance culture. Hiring Manager Title Head of Surveillance Initiatives and Portfolio Management… more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department is seeking a highly skilled Executive Director, Head of Communications Surveillance to lead and enhance its communications ... Americas. This role reports directly to the Managing Director, Head of Surveillance , Control Room, and Conflicts...+ Act as a trusted liaison between the Americas Compliance function and key internal stakeholders, including Head… more
- TD Bank (New York, NY)
- …regulatory compliance by developing and maintaining a comprehensive Trade Surveillance program, including identifying emerging risks, regulatory developments ... This position will focus on the trade surveillance portfolio and related initiatives. The VP Compliance...on findings and/or recommendations for enhancements, to the Global Head of Surveillance and Compliance … more
- Lowe's (Arlington Heights, IL)
- …and promptly communicates them to management and/or Asset Protection * Ensures compliance with housekeeping standards and programs (eg, Zone Recovery) to maintain ... phone, telephone, paging system, copiers, fax machines, computers, CCTV surveillance system, key cutter, panel saw, paint mixer, flooring...* 1 to 2 years of experience as a head cashier * 1 to 2 years of experience… more
- Citigroup (New York, NY)
- …Non-Financial Risk group and more specifically within Conduct Risk. Predominantly operating trade surveillance within the Spread Products business, but there ... enable growth and economic progress. **Team/Role Overview** This SP Trade Monitoring role sits in the First Line of...+ 5-10 years' experience in credit related middle office, surveillance , risk management and/or regulatory compliance in… more
- SMBC (Jersey City, NJ)
- …to the FIU VP, the FIU Associate is responsible for the day-to-day compliance efforts related to transaction surveillance , including the completion of assigned ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...is responsible for the delegation and oversight of day-to-day compliance efforts related to transaction surveillance . This… more
- SLAC National Accelerator Laboratory (Menlo Park, CA)
- …the Department of Energy(DOE), and SLAC and stakeholder control and compliance requirements; advise management on procurement issues. + Develop and implement ... internal controls to drive compliance with DOE and procurement policies and procedures; perform...a Firm Fixed Price. + Knowledge of market conditions, trade practices, sources and lead time. + Knowledge and… more
