- TD Bank (New York, NY)
- …Securities Compliance team is seeking a VP Compliance Manager for the brand new Trade Surveillance Quality Assurance team to develop and build out a ... global Surveillance QA program. The Surveillance Quality Assurance Manager will...departmental review procedures. The incumbent will collaborate closely with Trade Surveillance and Communications Surveillance … more
- TD Bank (New York, NY)
- …for promoting regulatory compliance by developing and maintaining a comprehensive Trade Surveillance program, including identifying emerging risks, regulatory ... initiatives in a complex regulatory environment. This position will focus on the trade surveillance portfolio and related initiatives. The VP Compliance TDS… more
- TD Bank (New York, NY)
- …domains including prototyping new surveillance , surveillance data quality , and surveillance quality assurance. **Individual Accountabilities:** + ... predictive risk scoring for alerts, the creation of automated quality assurance tools leveraging a Large Language Model and...ensure precision and reliability using platforms such as Nasdaq Trade Surveillance and Trading Hub, among others.… more
- TD Bank (New York, NY)
- …Data Governance & Quality Strategy: Develop and implement a robust data quality framework for trade surveillance , ensuring data integrity across multiple ... team is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This is a...will have deep expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at… more
- TD Bank (New York, NY)
- …US Compliance team is looking for Vice President candidates to join the trade surveillance team, specializing in Fixed Income Products, Foreign Exchange and ... positive work environment that promotes service to the business, quality , innovation and teamwork and ensure timely communication and/or...in the discussion + Gain an understanding of new trade surveillance modules and surveillance … more
- TD Bank (New York, NY)
- …Securities US Compliance team is looking for Vice President to join the Trade Surveillance team focused on Communications. The VP Compliance TDS oversees/leads ... support a positive work environment that promotes service to the business, quality , innovation and teamwork and ensure timely communication and/or escalation of… 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 ... positive work environment that promotes service to the business, quality , innovation and teamwork and ensure timely communication and/or...in the discussion * Gain an understanding of new trade surveillance modules and surveillance … 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...will provide comprehensive support and coverage for the hiring manager . Working within a team of former traders who… 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)
- …Unauthorized trading fraud (including controls around trader mandate, supervision, and trade surveillance ) + Technology / access management controls ... supports a positive work environment that promotes service to the business, quality , innovation and teamwork and ensures timely communication of issues/points of… more