- SMBC (New York, NY)
- …+ Compliance Training + Issues Management + Monitoring & Testing + Compliance Risk Assessment + Communications and Transaction Surveillance + Employee ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...compliance matters. + Assist the Regulatory Governance Team Lead in coordinating the intake and responses to regulatory… more
- JPMorgan Chase (Jersey City, NJ)
- …**Required qualifications, capabilities, and skills** + Bachelor's Degree + 3+ years of Trade Surveillance or other compliance , regulatory, or related ... status quo, and striving to be best-in-class. As a Surveillance Lead Vice President within the North...President within the North America and Latin America Swaps Trade Surveillance team, you will play a… more
- TD Bank (New York, NY)
- …regulatory compliance by developing and maintaining a comprehensive Trade Surveillance program, including identifying emerging risks, regulatory developments ... lead and key stakeholders to: maintain TDS' compliance surveillance framework; manage large surveillance...This position will focus on the trade surveillance portfolio and related initiatives. The VP Compliance… more
- Wells Fargo (New York, NY)
- …Fargo is seeking a ** Lead Control Management Officer** within Equities Trade Surveillance . The Corporate & Investment Banking (CIB) Control organization ... Mortgage Servicing, Fraud & Claims Management (FCM), and Prime Services businesses. The Trade Surveillance Equities Subject Matter Expert (SME) will report to… 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
- 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 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
- TD Bank (New York, NY)
- …mechanisms for senior management. + Stakeholder Engagement: Serve as primary contact to Trade Surveillance teams, CDO, Compliance Technology, and Front ... Compliance team is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This...will have deep expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at… more
- TD Bank (New York, NY)
- …Singapore, and Tokyo. www.td.com** **Job Summary** **Role Overview** **The Technology Director, Trade Surveillance Technology will lead the end-to-end ... compliance and control functions. This leader will drive the transformation of trade surveillance systems across multiple asset classes to meet evolving… more
- SMBC (Jersey City, NJ)
- … Department is seeking a highly skilled Executive Director, Head of Communications Surveillance to lead and enhance its communications surveillance framework ... regulatory changes and business needs, ensuring a robust and effective communications surveillance program. **Role Objectives** + Lead and manage the… more
- JPMorgan Chase (New York, NY)
- … compliance advice and guidance on regulatory topics + Review and disposition trade alerts escalated from Trade Surveillance and reporting/escalation to ... challenging the status quo and striving to be best-in-class. As a Compliance Risk Management Lead within the Compliance , Conduct and Operational Risk (CCOR)… more
- TD Bank (New York, NY)
- …across broker-dealers and swap dealers and draft relevant content + Act as a Compliance lead in relevant remediation projects, which will include: + conducting ... behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding… more
- JPMorgan Chase (New York, NY)
- …industry especially in Operational Risk Management, Anti-Money Laundering & Know Your Customer, Trade Surveillance model development + Experience with EKS or AKS ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...on business requirements and objectives. + Demonstrated ability to lead and manage the implementation of AI/ML models in… more
- TD Bank (New York, NY)
- …direct interaction with stakeholders across various functions including the Business, Risk, Trade Surveillance , Compliance , and Technology. This position ... line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business...the functional or enterprise level and is generally a lead or SME for a given area/function. **Depth &… more
- Bloomberg (New York, NY)
- …our offerings and enhancing VAULT to meet the scale and complexity of modern compliance workflows. What We Build: + Communications surveillance + Archival and ... global enterprises. Thousands of organizations depend on VAULT to manage compliance across Bloomberg Message, Instant Bloomberg, Email, Messaging, Mobile, Files,… more
- Pixalate, Inc. (New York, NY)
- …and data have been used to unearth multiple high-profile criminal and illegal surveillance cases, including: + Gizmodo: An iCloud Feature Is Enabling a $65 Million ... industry approaches quality and safety through our ratings, risk assessment, compliance , and fraud prevention technology. Overview Pixalate is hiring an… more
- Pixalate, Inc. (New York, NY)
- …Area, Hybrid Pixalate offers the market-leading fraud protection, privacy, and compliance analytics platform for Connected TV (CTV), Mobile Apps, and Websites.Our ... platform has been used to unearth multiple high-profile criminal and illegal surveillance cases, including: + Gizmodo: An iCloud Feature Is Enabling a $65 Million… more
