- Fidelity TalentSource LLC (Merrimack, NH)
- …preferred Previous AML or compliance background a plus The Team The AML Surveillance team within Fidelity's Legal Risk and Compliance Group is integral to ... Analyst, Financial Crimes Surveillance The Role The Financial Crimes-Anti-Money Laundering ...in helping the firm meet its overall Anti-Money Laundering Compliance obligations. There are thousands of transactions that occur… more
- Creative Financial Staffing (San Antonio, TX)
- …Develop and maintain processes to drive accuracy and efficiency, including operational, trading , and compliance oversight Conduct daily reviews to identify ... trading anomalies and ensure compliance with firm policy Approve transactions over approved thresholds and conduct transactional surveillance Establish… more
- Fidelity TalentSource LLC (Westlake, TX)
- Fidelity TalentSource is hiring an Associate Compliance Analyst at Fidelity Investments. This position is a one-year contract located in Westlake, TX. This is an ... high volume and fast-paced operations environment. Working in a deadline driven compliance setting, we are looking for someone who is organized, analytical, and… more
- Fidelity TalentSource LLC (Westlake, TX)
- …next temporary role at Fidelity Investments. We are currently sourcing for an Associate Compliance Analyst to work in Westlake, TX! The Role As an Associate ... Compliance Analyst, you will be responsible for providing support...Office Phone Line and E-Mail box Coordinating employees' personal trading account disclosures, statements, and transactions in support of… more
- CHS Inc. (Inver Grove Heights, MN)
- …connections to empower agriculture. **Summary** CHS has an exciting opportunity in the Trading Compliance group of our Legal, Government Compliance , & ... Audit organization. We are looking for a Trading Compliance Associate to join our team... compliance . + Experience working with a compliance surveillance system, conducting investigations, or writing… more
- Morgan Stanley (New York, NY)
- …Sales & Trading coverage team is focused on Watch List and front-running surveillance of employee and principal trading activity in the context of strategic ... (M/F/Disability/Vet). **Job:** **Other* **Title:** *Control Group - Sales & Trading / Surveillance * **Location:** *New York-New York* **Requisition ID:** *3247668* more
- BP Americas, Inc. (Chicago, IL)
- …company! The Compliance Manager is a key member of the Ethics & Compliance ("E&C") team supporting Trading & Shipping's ("T&S") Low Carbon Solutions ("LCS") ... The position is responsible for executing the E&C T&S compliance framework by performing surveillance of business...regulatory bodies)and bp policies and procedures. + Conduct proactive compliance risk assessments and reviews of trading … more
- BP Americas, Inc. (New York, NY)
- …energy company! The Compliance Manager is a key member of the Ethics & Compliance ("E&C") team supporting Trading & Shipping's ("T&S") Gas & Power Trading ... Compliance Manager and is primarily responsible for performing surveillance of business activities, influencing culture, delivering training and providing… more
- Bloomberg (New York, NY)
- SEF Compliance Surveillance Lead and Advisory ...The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; ... + A minimum of 7 years' derivatives, swaps and/or commodities products compliance + Experience conducting trade surveillance , real-time market monitoring and… more
- Bank of America (Charlotte, NC)
- …of the Compliance Surveillance Specialist include execution of trade- surveillance alerts, identifying and escalating potential insider trading and ... Risk which falls under Global Risk Management LOB. The Compliance Surveillance Specialist has intermediate knowledge of insider- trading and the risk it… more
- Bank of America (Charlotte, NC)
- …of the Compliance Surveillance Specialist include execution of trade- surveillance alerts, identifying and escalating potential insider trading and ... The role will be aligned almost exclusively to GWIM insider- trading surveillance in the short term, but...the medium and long term. The Compliance Surveillance Specialist has intermediate knowledge of insider- trading … more
- Bank of America (Charlotte, NC)
- …of the Compliance Surveillance Specialist include execution of trade- surveillance alerts, identifying and escalating potential insider trading and ... Risk which falls under Global Risk Management LOB. The Compliance Surveillance Specialist has intermediate knowledge of insider- trading and the risk it… more
- JPMorgan Chase (New York, NY)
- …Business and Functional Managers to help the Business understand and manage Compliance , Conduct and Operational Risks. **Job Description** A Senior Program Manager ... conduct risks in the first line through to second line of defense trade surveillance , where appropriate, and other controls. The role will involve day to day… more
- TD Bank (New York, NY)
- …**Preferred Requirements** + Bachelor's degree and 0-3 years relevant experience + Compliance /Personal Trading /email surveillance experience a plus + ... to analyst conflicts of interest, firm revenue and business activities. + Email surveillance and social media review. + Tracking of mandatory training, vacation and… more
- Morgan Stanley (Baltimore, MD)
- …perspectives and needs is an important part of our culture. As a Compliance Professional in Institutional Securities Trade Surveillance , the candidate will ... global Compliance monitoring teams, Technology teams, and the Global Surveillance Product Leads/Product Owners to execute the strategic objectives of the program… more
- Bank of America (Charlotte, NC)
- …+ Underwriting **Minimum Education Requirement:** Null Job Description: The Sr Trade Surveillance lead, in collaboration with Risk and Compliance officers, ... expert in his or her area of expertise for Compliance and Operational Risk. The Sr Trade Surveillance...Options. * Front office or middle office experience, or trading related experience * Experience using surveillance … more
- Bank of America (New York, NY)
- …and design of the scripts used to review the alerts. The Trade Surveillance analyst collaborates with Compliance and Operational Risk on the identification ... managers as needed. This role works closely with Risk, Compliance , and SMEs to conduct trade Surveillance ....Options. * Front office or middle office experience, or trading related experience * Experience using surveillance … more
- Hold Brothers (New York, NY)
- The Trade Surveillance Associate monitors assigned products and markets in conducting surveillance of order and trade activities of the firm, identifying ... & information sources that display manipulation & analysis of data related to trading activity, position maintenance & news. They work closely with experienced staff… more
- Morgan Stanley (Baltimore, MD)
- …Crimes including Anti-Money Laundering (AML) and sanctions screening models, and Surveillance including Cyber models and Compliance monitoring models. ... Model Risk Management - VP, Enterprise Fraud, Financial Crimes and Surveillance Model Validation and Validation Execution Morgan Stanley Morgan Stanley is a leading… more
- Bank of America (New York, NY)
- …Identify improvements in venue and product coverage by comparing transactional data from trading systems to surveillance alert generation. + Serve as technical ... Compliance & Op Risk Manager - EQ/Futures New...surveillance matters. + Participate with the front-office in trading venue onboarding in order to ensure that … more
