- ExxonMobil (Spring, TX)
- …monitoring and surveillance techniques based on changes to the business's trading activity and/or the latest rules and regulations * Ensure existing requirements ... * Compliance experience in futures, financial and physical commodities trading * Working knowledge of commodity regulations/reporting * Experience with risk… more
- Truist (Atlanta, GA)
- …to review alerts and investigate potential compliance issues. 2. Performs surveillance of trading activities to identify potential instances of market ... job description:** An independent team within CIB - Sales, Trading and Research that supports the Surveillance ...Surveillance program within CIB. The team performs trade surveillance activities, working with traders, compliance , and… more
- Citigroup (Jersey City, NJ)
- …/Control related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and ... requirements on a transaction-specific basis. + Liaise with other legal and compliance groups to address information barrier issues, trading in equities… more
- TD Bank (New York, NY)
- …detect anomalies in surveillance data. + Cross-Functional Leadership: Partner with Compliance , Risk, Trading , and Technology teams to optimize data workflows ... bank/systemically important financial institution in the US. Our team of trusted Surveillance Compliance professionals engages with key stakeholders across TD… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and ... related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and… more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join their team in New York. ... new and existing scenario. + Documented UAT Review of new scenarios. + Provide Surveillance expertise to BD and FCM Advisory Compliance , adding context and… more
- TD Bank (New York, NY)
- …and global regulatory expectations. **Department Overview:** Our team of trusted Surveillance Compliance professionals engages with key stakeholders across TD ... global Markets business, by delivering and comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance… more
- Wells Fargo (Charlotte, NC)
- …a **Lead Compliance Officer** in Corporate Risk as part **Trade Surveillance Oversight** Team. This role will be responsible for providing oversight of the ... futures a plus. + Proven track record of improving processes and enhancing surveillance applications ( Trading Hub, Actimize ActOne, Protegent, Catalyst, GMI) + … more
- Capital One (New York, NY)
- Director, Head of Surveillance As the Director, Head of Surveillance , part of Capital One's Compliance organization you will manage Capital One's Electronic ... Communications Surveillance Program and Trade Surveillance for Capital One's Commodity Futures Trading ...manager + At least 5 years of experience in compliance , surveillance , audit, or regulatory experience in… more
- Citigroup (Jersey City, NJ)
- The senior compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance (Trade Surveillance ) team is responsible for the ... related portfolios including trade surveillance , e-communications, and voice surveillance , employee trading , outside activities surveillance , and… more
- Citigroup (Getzville, NY)
- The Surveillance Intermediate Analyst serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team ... related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and… more
- Citigroup (Getzville, NY)
- …Electronic Communications Surveillance Intermediate Associate Analyst serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s ... related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and… more
- Wells Fargo (Charlotte, NC)
- …ex- trading experience, as well as experience in trade surveillance scenario design, implementation, parameter setting, alert dispositioning and support with ... experience, education **Desired Qualification** + Experience operating rule-based and risk-based Surveillance tools + Experience with Trading + Strong fixed… more
- Wells Fargo (Charlotte, NC)
- …methodologies **Desired qualifications:** + 3+ years of experience working in Control Room Surveillance , Trade Surveillance or Compliance Risk, or Financial ... within Enterprise Functions Technology for the Insider and Trade Surveillance Team. This role will build solutions to prevent...Team. This role will build solutions to prevent Insider Trading and market abuse. **In this role, you will:**… more
- MUFG (New York, NY)
- …is within the Global Markets Risk and Controls - Regulatory Risk and Surveillance team. **The Individual will:** + Provide direct support of the Global Markets ... interaction with front office, including responding to ad-hoc inquiries from the trading desk to investigating regulatory exceptions. + Assist in the design and… more
- Marex (New York, NY)
- …the Compliance Manual and Written Supervisory Procedures. + Provide Compliance Advisory services for broker-dealer Trade Surveillance process. + Provide ... + Carry out assigned compliance testing. + Coordinate and provide Compliance Advisory support to registration, employee trading and assigned business line… more
- Cargill (Minneapolis, MN)
- …mitigate risk. + Advise on regulatory guidelines relating to commodity swaps and futures trading , and compliance with commodity trading advisor and swap ... Compliance , Operations, Finance, Accounting, Audit, Legal, Sales or Trading **Preferred Qualifications** + Experience working with CFTC and NFA registered… more
- Marex (New York, NY)
- …US Broker Policies and Procedures and Written Supervisory Procedures. + Provide Compliance Advisory services for US Broker Trade Surveillance process. + ... For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance … more
- Charles Schwab (Omaha, NE)
- …utilizing our proprietary disclosure system. + Perform daily and periodic review ( surveillance ) of personnel trading and account activities using our proprietary ... surveillance , disclosure, and other responsibilities within the Employe Compliance Department + Collaborate with cross-functional business units to execute… more
- First Horizon Bank (Memphis, TN)
- …is seeking an experienced, licensed Compliance Officer to provide primary compliance surveillance , reporting, and guidance for all aspects of a broker-dealer ... a bank dealer and offer general support to the compliance department including testing and surveillance . **Primary...administer new regulations and implement any change needed + Surveillance of daily and monthly trading activity… more