- 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
- Capital One (New York, NY)
- Trade Surveillance Manager (Broker-Dealer...Advanced degree + 6+ years of trade surveillance , market regulation, or 6+ years compliance ... **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead...efforts. **Leadership & Collaboration** + Manage, train, and develop surveillance analysts, fostering a culture of compliance ,… more
- Scotiabank (New York, NY)
- …Officer in Charge (OIC) and leads the planning, execution and reporting of Global trade surveillance Compliance Audit by assessing the control effectiveness ... Senior Audit Manager , Audit Department - Trade Surveillance **Requisition ID:** 246539 **Salary...of a comprehensive and strategic audit plan for Global Compliance Trade Surveillance , ensuring auditable… more
- TD Bank (New York, NY)
- …enhance reporting mechanisms for senior management. + Stakeholder Engagement: Collaborate with Trade Surveillance teams, CDO, Compliance Technology, and ... ideal candidate will have strong expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at a large investment… more
- TD Bank (New York, NY)
- …work experience + 5-7 Years of related experience working with Fixed Income products in Compliance trade surveillance , trade settlements, or a trading ... Compliance Officer) to join the new Fixed Income Trade Surveillance team. Preferred 3-5 years of...have regular career, development, and performance conversations with your manager , as well as access to an online learning… 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
- Deloitte (Jericho, NY)
- …more of the following areas - Trade surveillance , communications surveillance , control room / information barriers compliance , or 1 st line ... with and add value to our clients. As a Manager , you will have opportunities to: + Lead project...for either trade surveillance , communications surveillance , control room/information barriers, employee compliance +… more
- Wells Fargo (New York, NY)
- …a Surveillance Engineering Manager to lead the modernization of trade surveillance platforms across asset classes including equities, fixed income, FX, ... platform scalability and integration with vendor/in-house systems (eg, Actimize, Protegent Trade Compliance , Nasdaq SMARTS, TradingHub). + Champion Agile and… more
- 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
- 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