- TD Bank (New York, NY)
- …for promoting regulatory compliance by developing and maintaining a comprehensive Trade Surveillance program, including identifying emerging risks, regulatory ... in a complex regulatory environment. This position will focus on the trade surveillance portfolio and related initiatives. The VP Compliance TDS oversees/leads a… more
- ManpowerGroup (New York, NY)
- Our client, a leading financial institution, is seeking a ** Trade Surveillance Consultant** to join their team in New York or Charlotte, NC (Hybrid) As a ** ... Trade Surveillance Consultant** , you will be...Trade Surveillance Consultant** , you will be part of a...which will align successfully in the organization. **Job Title:** ** Trade Surveillance Consultant** **Location: New York, New… more
- TD Bank (New York, NY)
- …The ideal candidate will have deep expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at a large investment ... Strategy: Develop and implement a robust data quality framework for trade surveillance , ensuring data integrity across multiple trading desks and asset classes.… more
- TD Bank (New York, NY)
- …compliance with departmental review procedures. The incumbent will collaborate closely with Trade Surveillance and Communications Surveillance Team leads, ... specialized function responsible for evaluating the effectiveness of the firm's surveillance framework across trade and communications monitoring. The incumbent… more
- TD Bank (New York, NY)
- …The TDS US Compliance team is looking for Associate candidates to join the trade surveillance team. Preferred 3-5 years of experience in surveillance ... members should participate in the discussion * Gain an understanding of new trade surveillance modules and surveillance tools * Keep current on emerging… more
- TD Bank (New York, NY)
- …US Compliance team is looking for Vice President candidates to join the trade surveillance team, specializing in Fixed Income Products, Foreign Exchange and ... members should participate in the discussion + Gain an understanding of new trade surveillance modules and surveillance tools + Keep current on emerging… more
- Scotiabank (New York, NY)
- …Audit Manager who is seasoned Compliance Auditor with significant experience in Trade Surveillance audits, focused on market abuse detection and prevention. ... candidate will leverage their expertise to lead compliance audits for trade surveillance to identify potential market abuse and work collaboratively with various… more
- Guardian Life (New York, NY)
- …and best execution + Collaboration with Compliance on regulatory reporting and trade surveillance + Document procedures and recommend operational improvements + ... responsible for the full lifecycle of order entry and trade support across a range of asset classes including...borrowing, margin, lending, SMA, calls, extensions, Regulation T, and trade issue resolution is essential. **You are** + Experienced… more
- BMO Financial Group (New York, NY)
- …and maintain current knowledge of regulatory requirements and developments, monitoring risk/ trade surveillance , and identifying and corrects possible gaps and ... compliance program. Coordinate and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with BMO… more
- Marex (New York, NY)
- …Written Supervisory Procedures. + Provide Compliance Advisory services for US Broker Trade Surveillance process. + Provide Compliance Advisory services for US ... Compliance Calendar deadlines are achieved. + Work with business partners (ie, Surveillance , IT, Operations etc.) to develop and enhance systems, tools, reports, and… more
- Marex (New York, NY)
- …Written Supervisory Procedures. + Provide Compliance Advisory services for broker-dealer Trade Surveillance process. + Provide Compliance Advisory services for ... Compliance Calendar deadlines are achieved. + Work with business partners (ie, Surveillance , IT, Operations etc.) to develop and enhance systems, tools, reports, and… more
- Wells Fargo (New York, NY)
- …knowledge to provide expertise to key aspects of the bank's controls and trade surveillance framework within the First Line business. The successful candidate ... will work closely other BASS team members, Line of Business supervisors, Business Controls and COO teams as well as other support functions (eg, Compliance, Testing, Audit, Risk, Operations, Technology, Legal, and Human Resources). Their goal will be to help… more
- MUFG (New York, NY)
- …for data & reporting needs for Party & Master data, AML, KYC, Sanctions, Trade Surveillance processes + Gather and write Data Product requirements through ... collaborative stakeholder partnerships. + Work closely with engineering organizations to ensure quality software deliveries, aligning with product visions and customer needs. + Develop and maintain strong, trust-based relationships with key stakeholders to… more
- SMBC (White Plains, NY)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... is responsible for the day-to-day compliance efforts related to transaction surveillance , including the completion of assigned activities in accordance with… more
- City of New York (New York, NY)
- …organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent ... quality improvement, conducts population level surveys and behavioral health care system surveillance to identify gaps care and inform decision making, advocacy and… more
- AMA Group (New York, NY)
- **Title:** Senior Associate (Project Manager) - NY ** Trade :** Security **Level:** 10-12 **Reports To:** Group Leader **Position Overview:** Our New York office is ... Responsibilities:** + Meet with clients to develop Access Control and Video Surveillance criteria, assist with providing recommendations to client and project team +… more
- City of New York (New York, NY)
- …organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent ... and building evaluations based on signals from the Department's Legionella disease surveillance system. Utilizing technical writing and analysis skills to assess and… more
- City of New York (New York, NY)
- …organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent ... recovery and support services; policy analysis and development; epidemiology, surveillance , and evaluation; development and dissemination of treatment and management… more
- New York State Civil Service (Orangeburg, NY)
- …and maintenance of highlytechnical and sensitive ESS equipment, electronic camera surveillance equipment(CCTV), and security locking devices.* Will be required to ... the electrical fields or electronic studies (training from a trade program at a school or institute may be...note any specific licenses or certifications in a skilled trade .If you are a former public employee retired within… more
- Scotiabank (New York, NY)
- …presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas and the world. Global Banking & ... Compliance function. + Coordinate with central compliance groups, including Testing and Surveillance , to provide reasonable assurance that the firm is in compliance… more