- 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
- Lowe's (Morris Plains, NJ)
- …and promptly communicates them to management and/or Asset Protection * Ensures compliance with housekeeping standards and programs (eg, Zone Recovery) to maintain ... phone, telephone, paging system, copiers, fax machines, computers, CCTV surveillance system, key cutter, panel saw, paint mixer, flooring...* 1 to 2 years of experience as a head cashier * 1 to 2 years of experience… more
- Wells Fargo (New York, NY)
- … Trade Surveillance Equities Subject Matter Expert (SME) will report to the Head of Trade Surveillance SMEs and will be responsible for the design, ... role:** Wells Fargo is seeking a **Control Management Specialist** within Equities Trade Surveillance . The Corporate & Investment Banking (CIB) Control… more
- SMBC (Jersey City, NJ)
- …to the FIU VP, the FIU Associate is responsible for the day-to-day compliance efforts related to transaction surveillance , including the completion of assigned ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...is responsible for the delegation and oversight of day-to-day compliance efforts related to transaction surveillance . This… more