- TD Bank (New York, NY)
- …as needed, and effective check and challenge. Reporting to the Head of Surveillance Initiatives and Portfolio Management., the incumbent will be responsible for ... their regulatory risk. **Key Responsibilities:** + Reporting: With the Head of Surveillance Initiatives and Portfolio Management and key stakeholders: assist… 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 ... & Quality Strategy: Develop and implement a robust data quality framework for trade surveillance , ensuring data integrity across multiple trading desks and asset… 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 ... partners and coordinate tracking and reporting of Compliance function initiatives and programs * Prepare summaries, communications, reports and...in the discussion * Gain an understanding of new trade surveillance modules and surveillance … more
- Capital One (New York, NY)
- …Capital One's Compliance organization you will manage Capital One's Electronic Communications Surveillance Program and Trade Surveillance for Capital One's ... for independent judgment and decision-making. **Responsibilities:** + Oversight of trade surveillance for Swap Dealer (interest rate,...At least 5 years of experience as a people manager , ideally of a Surveillance function +… more
- HSBC (New York, NY)
- …repo, custody and clearing, as well as the supporting functions (eg, Market Operation, Trade Surveillance , Traded Risk and Product Control). The team also covers ... domestic payments and providing cash management and liquidity management solutions -Global Trade Solutions, specializing in trade finance, supply chain 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
- TD Bank (New York, NY)
- …the client, and other areas of TDS / GBS + Acts as a project manager for small-scale projects/ initiatives + Initiates or participates in projects follows project ... **Department Summary:** The NY Middle Office team is responsible for post execution trade support for TDS trading businesses within Global Markets to ensure trades… more
- BMO Financial Group (New York, NY)
- …Regulatory Services Organization and is specifically responsible for the monitoring of trade floor activities and ensuring these activities adhere to all applicable ... CMS, and Compliance, the VP will be responsible to review assigned surveillance reports, validate activity and document results. Primary products covered will be… 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 report to a BASS manager and will work closely other BASS team members,...business and wider organization including but not limited to trade surveillance , conflicts of interest, unauthorized trading,… 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
- TD Bank (New York, NY)
- …support to the Global Transaction Business, including for new products and initiatives , and customer and transaction escalations and inquiries. + Provide advice to ... Participate in special projects, including assisting with adherence to enterprise-wide initiatives including global policies and governance. + Assist with regulatory… more