- TD Bank (New York, NY)
- …Compliance team is looking for Vice President candidates to join the trade surveillance team. Preferred 5-10 years of experience in surveillance of ... members should participate in the discussion * Gain an understanding of new trade surveillance modules and surveillance tools * Keep current on emerging… more
- SMBC (New York, NY)
- …competitive portfolio of benefits to its employees. **Role Description** The Vice President , Compliance Transformation Project Manager manages Compliance ... environment, and maintaining effective communications and reporting. The successful Vice President , Compliance Transformation Project Manager has demonstrated… more
- TD Bank (New York, NY)
- …**Job Description:** The TD Securities US Compliance team is looking for Vice President to join the trade surveillance team focused on Communications. ... and/or escalation of issues + Network with other colleagues in Global Surveillance and the wider Compliance teams and showcase presence + Provide coverage… 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
- MUFG (New York, NY)
- …for data & reporting needs for Party & Master data, AML, KYC, Sanctions, Trade Surveillance processes + Gather and write Data Product requirements through ... collaborative stakeholder partnerships. + Work closely with engineering organizations to ensure quality software deliveries, aligning with product visions and customer needs. + Develop and maintain strong, trust-based relationships with key stakeholders to… more
- Citigroup (New York, NY)
- …lines meet best in class standards + Coordinate requirements for Citi's Surveillance , Monitoring and Regulatory Tool (SMaRT) + Contribute to global regulatory ... IT work slate + Work on incorporating booking control requirements into various trade capture systems + Manage annual review for size and price control calibration… more