- 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
- TD Bank (New York, NY)
- …detection models to ensure precision and reliability using platforms such as Nasdaq Trade Surveillance and Trading Hub, among others. + Create and maintain ... on model validation and monitoring as needed. + Develop and implement trade surveillance logic to detect market manipulation and ensure regulatory compliance. +… 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 ... and/or escalation of issues + Network with other colleagues in Global Surveillance and the wider Compliance teams and showcase presence + Provide coverage… 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
- 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...Spread Products(Credit and Securitized Products) Trading, Middle Office or Surveillance . + MS Excel, SQL, Python, or other C… more
- Bank of America (New York, NY)
- …lists, watch lists, global research reports, wall-crossings, MNPI (Material Non-Public Information), trade surveillance , and trade preclearance. + Supervise ... investment banking, capital markets, and research functions. + Familiarity with surveillance and compliance monitoring systems. **Skills:** + Advisory + Monitoring, … more
- Bank of America (New York, NY)
- …of surveillance and financial crime detection models, including trade surveillance , communications monitoring, and transaction monitoring systems - ... client onboarding, and complex transaction structures. + Knowledge of front-to-back trade flows and how trading desks, sales, operations, and compliance interact… more