- TD Bank Group (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
- Ares Management Corporation (New York, NY)
- …Conflicts and Trading, which oversees the regulations and guidelines applicable to trade surveillance , the handling of Material Non-Public Information, and ... conflicts; Marketing and Distribution, focusing on global marketing regulations as well as compliance for Ares' registered broker-dealers; Regulated Funds, which oversees the compliance for advised and sub-advised registered funds and public companies;… more
- FalconX (New York, NY)
- …compliance programs, including Know Your Customer (KYC), Anti-Money Laundering (AML), trade surveillance , sanctions and derivatives compliance programs for ... FalconX in the US, APAC, and Europe Advise and implement enhancements to the overall Compliance Program, including oversight of policies and procedures Tasked with management of our distributed, Global Compliance team. Communicate with regulators globally on… more
- Guggenheim Securities (New York, NY)
- …unit professionals through effective communication. Rotational weekend coverage Control Room Trade Surveillance Provide advice on and monitor interactions and ... communications between Research and Investment Banking, including chaperoning calls/meetings between Investment Banking and Research. Preferred Qualifications Knowledge of sales, trading, and research restrictions related to corporate finance and/or financial… more
- Experis (Summit, NJ)
- …will be part of the EFT Risk & Internal Audit department supporting the Trade Surveillance group. The ideal candidate will have strong problem-solving skills, ... Software Engineering experience, with a focus on Actimize and Trade Surveillance . Strong knowledge of Autosys job scheduling, configuration, and troubleshooting.… more
- Goldman Sachs, Inc. (New York, NY)
- …the firm's assets and its reputation. For every new product launched and every trade executed, it is Operations that develops and manages the processes and controls ... has primary responsibility for all aspects of cash management, collateral management, post- trade guideline oversight, trade life-cycle and serves as the single… more
- 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
- JPMorgan Chase (Jersey City, NJ)
- …for diverse stakeholder audiences + Should be subject matter expertise in Regulatory, Trade surveillance platforms and capital markets + Should advocate and ... stakeholder audiences + Candidate must have strong knowledge in Regulatory, Trade surveillance platforms and capital markets + Candidate must have worked to… more
- TD Bank (New York, NY)
- …ideal candidate will have strong expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at a large investment ... development and implementation of a robust data quality framework for trade surveillance , ensuring data integrity across multiple trading desks and asset… more
- JPMorgan Chase (Jersey City, NJ)
- …the box, challenging the status quo and striving to be best-in-class. As a Surveillance Lead (Wealth Management Trade Surveillance ) Vice President within ... play a crucial role in Risk Management by conducting reviews of trade surveillance alerts related to Market Manipulation and Misconduct, Sales Practice, and… 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
- 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
- ManpowerGroup (Summit, NJ)
- …will be part of the EFT Risk & Internal Audit department supporting the Trade Surveillance group. The ideal candidate will have strong problem-solving skills, ... of Software Engineering experience, with a focus on Actimize and Trade Surveillance . + Strong knowledge of Autosys job scheduling, configuration, and… 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
