- TD Bank (New York, NY)
- …US Compliance team is looking for Associate candidates to join the trade surveillance team. Preferred 3-5 years of experience in surveillance of ... of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and...in the discussion * Gain an understanding of new trade surveillance modules and surveillance … 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 ... the expectation** . Our team is growing its Fixed Income, Commodities, and Currency Compliance ("FICC") team in New York with a focus on FINRA and SEC broker-dealer… more