- JPMorgan Chase (Jersey City, NJ)
- …Conduct and Operational Risk (CCOR) - Surveillance Lead (Wealth Management Trade Surveillance ) - Vice President , you will play a crucial role in Risk ... Management by conducting reviews of trade surveillance alerts related to Market Manipulation and Misconduct, Sales Practice, and Customer Suitability risks. You… more
- 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
- 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