- 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
- 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 (Jersey City, NJ)
- …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