- TD Bank (New York, NY)
- … team is seeking a VP Compliance Manager for the brand new Trade Surveillance Quality Assurance team to develop and build out a global Surveillance ... with departmental review procedures. The incumbent will collaborate closely with Trade Surveillance and Communications Surveillance Team leads, who… more
- TD Bank (New York, NY)
- …regulatory compliance by developing and maintaining a comprehensive Trade Surveillance program, including identifying emerging risks, regulatory developments ... This position will focus on the trade surveillance portfolio and related initiatives. The VP Compliance...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …detection models to ensure precision and reliability using platforms such as Nasdaq Trade Surveillance and Trading Hub, among others. + Create and maintain ... providing advice and support, as required. Within the Global Compliance Department, the Global Surveillance Team is...validation and monitoring as needed. + Develop and implement trade surveillance logic to detect market manipulation… more
- TD Bank (New York, NY)
- … Compliance team is looking for Vice President candidates to join the trade surveillance team, specializing in Fixed Income Products, Foreign Exchange and ... 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)
- … team is looking for Vice President to join the Trade Surveillance team focused on Communications. The VP Compliance TDS oversees/leads a team(s) ... of issues + Network with other colleagues in Global Surveillance and the wider Compliance teams and...have regular career, development, and performance conversations with your manager , as well as access to an online learning… 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 ... The ideal candidate will have deep expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at a large investment… more
- Bank of America (New York, NY)
- GFC Manager ; Trade -Based Money Laundering Charlotte, North Carolina;Atlanta, Georgia; New York, New York; Chicago, Illinois; Chandler, Arizona **To proceed with ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Charlotte/GFC- Manager -- Trade -Based-Money-Laundering\_25044977) **Job Description:** At Bank of America,… more
- Citigroup (New York, NY)
- …Non-Financial Risk group and more specifically within Conduct Risk. Predominantly operating trade surveillance within the Spread Products business, but there ... enable growth and economic progress. **Team/Role Overview** This SP Trade Monitoring role sits in the First Line of...+ 5-10 years' experience in credit related middle office, surveillance , risk management and/or regulatory compliance in… more
- Bank of America (New York, NY)
- …lists, watch lists, global research reports, wall-crossings, MNPI (Material Non-Public Information), trade surveillance , and trade preclearance. + Supervise ... Compliance & Operational Risk Manager -...banking, capital markets, and research functions. + Familiarity with surveillance and compliance monitoring systems. **Skills:** +… more