- TD Bank (New York, NY)
- …for promoting regulatory compliance by developing and maintaining a comprehensive Trade Surveillance program, including identifying emerging risks, regulatory ... in a complex regulatory environment. This position will focus on the trade surveillance portfolio and related initiatives. The VP Compliance TDS oversees/leads a… 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 ... Strategy: Develop and implement a robust data quality framework for trade surveillance , ensuring data integrity across multiple trading desks and asset classes.… more
- TD Bank (New York, NY)
- …TD 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 ... compliance with departmental review procedures. The incumbent will collaborate closely with Trade Surveillance and Communications Surveillance Team leads,… more
- Wells Fargo (New York, NY)
- …Wells Fargo is seeking a **Lead Compliance Officer** in Corporate Risk as part ** Trade Surveillance Oversight** Team. This role will be responsible for providing ... will:** + Provide oversight, monitoring and effective challenge of the front-line surveillance program in line with federal, state, agency, legal, regulatory and… 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 ... members should participate in the discussion * Gain an understanding of new trade surveillance modules and surveillance tools * Keep current on emerging… 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 ... members should participate in the discussion + Gain an understanding of new trade surveillance modules and surveillance tools + Keep current on emerging… more
- TD Bank (New York, NY)
- …ideal candidate will have strong expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at a large investment ... development and implementation of a robust data quality framework for trade surveillance , ensuring data integrity across multiple trading desks and asset… more
- Marex (New York, NY)
- …Written Supervisory Procedures. + Provide Compliance Advisory services for Swap Dealer Trade Surveillance process and other Compliance functions. + Conduct ... provide guidance to Compliance teams that support those businesses (such as Surveillance ). Implementation of the MDP and MSP Compliance programs may include… 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