- JPMorgan Chase (New York, NY)
- …industry especially in Operational Risk Management, Anti-Money Laundering & Know Your Customer, Trade Surveillance model development + Experience with EKS or AKS ... the status quo and striving to be best-in-class. As a Product Manager in the Compliance Conduct and Operational Risk (CCOR) Data Analytics division, you will… more
- TD Bank (New York, NY)
- …behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding ... regulatory areas impacting products, behaviors and market participants. + Knowledge of trade and communications surveillance tools and vendors for detecting… more
- TD Bank (New York, NY)
- …behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding ... regulatory areas impacting products, behaviors and market participants. + Knowledge of trade and communications surveillance tools and vendors for detecting… more
- TD Bank (New York, NY)
- …behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding ... regulatory areas impacting products, behaviors and market participants. + Knowledge of trade and communications surveillance tools and vendors for detecting… more
- Bank of America (New York, NY)
- …of surveillance and financial crime detection models, including trade surveillance , communications monitoring, and transaction monitoring systems - ... GFC Manager - Global Markets Charlotte, North Carolina;Atlanta, Georgia;...to non-specialist stakeholders. **Skills:** + Critical Thinking + Monitoring, Surveillance , and Testing + Regulatory Compliance +… more
- BMO Financial Group (New York, NY)
- …and maintain current knowledge of regulatory requirements and developments, monitoring risk/ trade surveillance , and identifying and corrects possible gaps and ... the expectation** . Our team is growing its Fixed Income, Commodities, and Currency Compliance ("FICC") team in New York with a focus on FINRA and SEC broker-dealer… more
- SMBC (New York, NY)
- …+ Compliance Training + Issues Management + Monitoring & Testing + Compliance Risk Assessment + Communications and Transaction Surveillance + Employee ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...of benefits to its employees. **Role Description** The SMBC Compliance Advisory Function resides within Compliance Department… more
- Aflac (NY)
- …behalf of Aflac Global Investments -while learning investment compliance and the trade operational workflows for an insurance asset manager . + Learn how to ... - portfolio management, understanding the life cycle of a trade through investment risk management, trading and operations and...firm, as well as on-the job training in investment compliance and portfolio surveillance . The Intern will… more
- TD Bank (New York, NY)
- …Unauthorized trading fraud (including controls around trader mandate, supervision, and trade surveillance ) + Technology / access management controls ... for coordinating business continuity management (BCM) processes and supporting regulatory/ compliance related initiatives impacting overall risks to the business (eg… more