- 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
- 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
- BMO Financial Group (New York, NY)
- …and maintain current knowledge of regulatory requirements and developments, monitoring risk/ trade surveillance , and identifying and corrects possible gaps and ... compliance program. Coordinate and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with BMO… more
- Raymond James Financial, Inc. (New York, NY)
- …client interaction and communication, training and staff development, systems integration, trade surveillance . + Advanced math and analytics sufficient for ... + Analyzes and provides quantitative analysis of Raymond James (RJ) historical trade data from several sources. + Creates back-testing models to evaluate and… 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 ... to the Market Conduct Violation Program + Assist in the completion of Compliance Risk Assessment matters, including challenges + Manage the expert networks process, including chaperoning calls + Develop and provide instructor-led compliance training + Make… more
- TD Bank (New York, NY)
- …Unauthorized trading fraud (including controls around trader mandate, supervision, and trade surveillance ) + Technology / access management controls ... (entitlements / least privilege, SOD, MFA), data security / protection (encryption, masking) + Insider risk alert vetting and investigations function + HR controls (onboarding, offboarding, etc.) + Strong knowledge of banking regulations and industry standards… 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 ... provisioning is a plus JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the JP… more
- HUB International (New York, NY)
- …effectiveness of the policies and procedures which support Rule 206(4)-7. + Email surveillance / personal trade reviews / marketing material reviews + Develop ... 1940; + Assist in conducting ongoing compliance reviews, internal investigations and surveillance to evaluate and test for compliance with applicable SEC rules,… more
- Bank of America (New York, NY)
- GFC Manager; Trade -Based Money Laundering Charlotte, North Carolina;Atlanta, Georgia; New York, New York; Chicago, Illinois; Chandler, Arizona **To proceed with your ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Charlotte/GFC-Manager-- Trade -Based-Money-Laundering\_25044977) **Job Description:** At Bank of America, we are… more