- CHS Inc. (Inver Grove Heights, MN)
- …and energy commodities. CHS's Compliance & Integrity team is seeking a Global Trading Compliance and New Product Risk Senior Director to oversee, monitor and ... role, the Senior Director will lead the development, governance and administration of trading compliance and new product risk management activities across the… more
- TD Bank (Charlotte, NC)
- …analytical models used for TD. The position reports to Senior Manager, Trading Surveillance and Insider Risk Models Validation. Detailed accountabilities ... include: + Validates Financial Crime Risk Management (FCRM) models for Trading Surveillance + Develop an effective and efficient validation testing plan based on… more
- ManpowerGroup (New York, NY)
- …documentation for escalations and findings. + Collaborate with trading desks, compliance & legal teams, and surveillance technology teams to enhance ... Equities Focus), you will be part of the Market Compliance Department supporting the Surveillance and ...and thresholds. **What's Needed?** + Experience in market abuse surveillance or ex- trading experience, with a strong… more
- TD Bank (Charlotte, NC)
- …of quantitative professionals to validate Financial Crime Risk Management (FCRM) models for Trading Surveillance and Insider Risk Management + Work with team to ... full professional knowledge of techniques and developments in FCRM modeling for Trading Surveillance and Insider Risk Management and share knowledge with… more
- 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
- Phillips 66 (Houston, TX)
- …guidance on compliance and regulatory matters, conduct risk-based trade surveillance , and monitor trading activities to identify and address potential ... can fuel the future** As an **Advisor in Commercial Trading Compliance ** , you'll play a vital...collaborate effectively with cross-functional teams. + Experience using trade surveillance tools such as Nasdaq Trade Surveillance … more
- Intercontinental Exchange (ICE) (New York, NY)
- …ICE Senior QA Engineer position plays a key role in testing and delivering trading , listing, compliance and surveillance applications, while supporting all ... independently on multiple projects. **Preferred Knowledge and Experience** + Experience with trading and financial applications is a plus. Also, knowledge of FIX… more
- Charles Schwab (Westlake, TX)
- …potential issues in accordance with Corporate Compliance Standards. + Perform trade surveillance in digital asset trading as well as other asset classes to ... and engaging compliance professional to join our Compliance Trade Surveillance Team as a Senior...Surveillance Team's mission is to identify and mitigate trading activities that violate rules that prohibit manipulative and… more
- TD Bank (New York, NY)
- …bank/systemically important financial institution in the US. Our team of trusted Surveillance Compliance professionals engage 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
- JPMorgan Chase (Jersey City, NJ)
- … behavior. Working closely with Line of Business (LOB) management and LOB Compliance stakeholders, as well as global/regional Surveillance teams, you will be ... tasks in a high-paced environment. **Job Responsibilities** + Review surveillance output and analyze trading and market...skills** + Bachelor's Degree + 3+ years of Trade Surveillance or other compliance , regulatory, or related… more
- TD Bank (New York, NY)
- …+ 5-7 Years of related experience working with FX products in Compliance trade surveillance , trade settlements, or a in a trading role + Strong knowledge of ... Surveillance team. Preferred 3-5 years of experience in surveillance of Foreign Exchange (FX) trading and...of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and… 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
- Capital One (New York, NY)
- …day-to-day surveillance operations, maintain robust controls around the monitoring of trading activity, and ensure ongoing compliance with SEC, FINRA, CFTC, ... analytical capabilities, sound judgment, and a proven track record supervising surveillance teams within a highly regulated trading environment.… more
- Deloitte (Princeton, NJ)
- …one or more of the following areas - Trade surveillance , communications surveillance , control room / information barriers compliance , or 1 st line ... or supporting systems for either trade surveillance , communications surveillance , control room/information barriers, employee compliance + Strong technical… more
- Scotiabank (New York, NY)
- …Charge (OIC) and leads the planning, execution and reporting of Global trade surveillance Compliance Audit by assessing the control effectiveness and Bank's ... improve the control environment. + Assess the effectiveness of the bank's trade surveillance compliance program through an effective challenge of market abuse… more
- ManpowerGroup (New York, NY)
- … logic development. **What's Needed?** + Hands-on experience in Fixed Income trading or market abuse surveillance (mandatory). + Strong understanding of ... Our client, a leading financial services organization, is seeking a Trade Surveillance Fixed Income (Senior / Lead Level) to join their team. As a Trade … more
- Wells Fargo (Charlotte, NC)
- …with internal, legal and regulatory requirements. + Regularly review and update surveillance governance frameworks to reflect changes in trading practices and ... compliance , legal, and IT teams to ensure effective surveillance coverage. + Attend team meetings and contribute to...team meetings and contribute to discussions on risk and compliance strategy. **Trade Surveillance Awareness** + Promoting… more
- MUFG (Irving, TX)
- …guidance overseen by the Compliance Group. This influential position will perform compliance testing reviews on the Sales & Trading business units with focus ... and procedures, including their extra-territorial application. Experience with markets compliance , markets surveillance , compliance monitoring, auditing… more
- Bloomberg (New York, NY)
- …financial markets, instruments, and trading lifecycle * Knowledge of archival, compliance and surveillance processes and systems * Great collaboration skills ... The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough;...applicable business forums * Understand the business of archival, compliance and surveillance systems * Design and… more
- TD Bank (New York, NY)
- …the financial services industry, specifically in compliance , trade surveillance and/or capital markets domains including trading lifecycles. ... solutions that support scalable, secure, reusable solutions across the Compliance , Surveillance and Supervision area. Responsibilities include planning,… more