- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join their team in New ... Surveillance reviews to the Head of US Surveillance + Clearly delineated by date, business ...+ Documented UAT Review of new scenarios. + Provide Surveillance expertise to BD and FCM Advisory Compliance… more
- Wells Fargo (New York, NY)
- …daily alerts related to FICC Trade Surveillance + Manage key relationships with Business Heads, Desk Heads, Compliance , COO and CIB Control for Rates + ... role:** Wells Fargo is seeking a Lead Control Management Officer within FICC Trade Surveillance . Learn more...business unit's risk appetite and all risk and compliance program requirements. **Applicants with Disabilities** To request a… more
- Saratoga Casino Hotel (Saratoga Springs, NY)
- …Saratoga Casino Hotel welcomes you to apply! Your Role: Our successful Surveillance Officers promote outstanding relations with all guests and fellow Team Members ... Role: + At least 18 years of age + Previous experience in casino surveillance preferred. + Excellent written and verbal communication skills required. + Ability to… more
- TD Bank (New York, NY)
- …: New York, New York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $100,000 - $150,000 USD TD is committed to ... and alert escalations * Co-ordinate requests to and from, business ( Compliance ) partners and coordinate tracking and...of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and… more
- TD Bank (New York, NY)
- …Markets business , by delivering and comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance 's ... York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $150,000 - $250,000...financial institution in the US. Our team of trusted Surveillance Compliance professionals engages with key stakeholders… more
- Marex (New York, NY)
- …to ensure Americas Compliance Calendar deadlines are achieved. + Work with business partners (ie, Surveillance , IT, Operations etc.) to develop and enhance ... (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who...for advising in the individuals within the various Marex Business lines from a Compliance perspective. Marex… more
- Marex (New York, NY)
- …to ensure Americas Compliance Calendar deadlines are achieved. + Work with business partners (ie, Surveillance , IT, Operations etc.) to develop and enhance ... For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide … more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Compliance Officer - Swap Advisory who will provide compliance ... compliance advisory services to the MDP and MSP business units as well as Compliance teams...Compliance Advisory services for US Swap Dealer Trade Surveillance process. + Provide Compliance Advisory services… more
- Bank of America (New York, NY)
- GCIB Business Controls Officer , Communications Review & Enterprise Programs Associate / VP New York, New York **Job Description:** Global Corporate & Investment ... + Participate in implementing new projects to achieve short and long-term business objectives by providing surveillance system analysis, testing and feedback… more
- BMO Financial Group (New York, NY)
- …surveillance activities to ensure program remains current and aligned with BMO Compliance Program. Work with business /group and internal partners to ensure ... regulatory requirements and developments. Maintain functional and regulatory expertise specific to business group, and refers to Compliance Policies & Procedures… more