- TD Bank (New York, NY)
- …requests for data, and exam inquiries as they relate to Trade Surveillance . + Briefings and Presentations: Lead the preparation of summaries, presentations, ... for promoting regulatory compliance by developing and maintaining a comprehensive Trade Surveillance program, including identifying emerging risks, regulatory… 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...market behaviours and how to triage alerts. This will lead to infrequent but credible challenge of Supervisors via… more
- TD Bank (New York, NY)
- …The ideal candidate will have deep expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at a large investment ... Securities Compliance team is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This...Develop and implement a robust data quality framework for trade surveillance , ensuring data integrity across multiple… 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 ... in the discussion * Gain an understanding of new trade surveillance modules and surveillance ...area/function and the bank, both internally and/or externally The Senior Compliance Office provides advice, guidance and support to… more
- Honeywell (Pittsford, NY)
- …control systems, and instruments for energy management; access control; video surveillance ; fire products; and installation, maintenance, and upgrades of systems. ... please visit click here (https://buildings.honeywell.com/) . **THE POSITION** As the ** Sr . Solutions Engineer** for our **Hospitality** vertical, you will be the… more
- TD Bank (New York, NY)
- …Unauthorized trading fraud (including controls around trader mandate, supervision, and trade surveillance ) + Technology / access management controls ... and subject matter advice at senior levels + Works independently as the senior technical lead and guides others within area of expertise + Identifies and… more
- Bloomberg (New York, NY)
- Senior Software Engineer - VAULT Location New York Business Area Engineering and CTO Ref # 10045672 **Description & Requirements** Our team: Bloomberg VAULT is the ... scale and complexity of modern compliance workflows. What We Build: + Communications surveillance + Archival and search across communications and trades + Trade … more
- JPMorgan Chase (New York, NY)
- …provide compliance advice and guidance on regulatory topics + Review and disposition trade alerts escalated from Trade Surveillance and reporting/escalation ... striving to be best-in-class. As a Compliance Risk Management Lead within the Compliance, Conduct and Operational Risk (CCOR)...global team members across LOBs and staff areas, including senior management; be both a leader and an active… more
- TD Bank (New York, NY)
- …behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding ... and draft relevant content + Act as a Compliance lead in relevant remediation projects, which will include: +...impacting products, behaviors and market participants. + Knowledge of trade and communications surveillance tools and vendors… more
- Wolters Kluwer (New York, NY)
- …Clinical Drug Information, Patient Engagement, Clinical Terminologies, Clinical Surveillance , Nursing Education, Medical Education, Allied Health Education and ... better decisions faster. **About the** **R** **ole:** The Vice President of Sales will lead a team of Sales Leaders focused on driving revenue growth and exceeding… more