- 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)
- 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
- 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)
- …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)
- …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
- 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
- TD Bank (New York, NY)
- …Compliance team is seeking a VP Compliance Manager for the brand new Trade Surveillance Quality Assurance team to develop and build out a global ... with departmental review procedures. The incumbent will collaborate closely with Trade Surveillance and Communications Surveillance Team leads, who… 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
