• Director, Compliance - Regulatory Initiatives, TD…

    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 (09/07/25)
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  • VP - Compliance Monitoring Program, TD Securities

    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 (09/07/25)
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  • Senior Compliance Officer - Fixed Income

    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
    BMO Financial Group (09/22/25)
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  • Senior Compliance Officer - Fixed Income Advisory

    Marex (New York, NY)
    …Written Supervisory Procedures. + Provide Compliance Advisory services for US Broker Trade Surveillance process. + Provide Compliance Advisory services for US ... Compliance Calendar deadlines are achieved. + Work with business partners (ie, Surveillance , IT, Operations etc.) to develop and enhance systems, tools, reports, and… more
    Marex (08/07/25)
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  • Compliance Risk Management Lead - Vice President

    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
    JPMorgan Chase (10/05/25)
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  • VP, Quantitative Analyst-Developer, Electronic…

    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
    Raymond James Financial, Inc. (08/08/25)
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  • Compliance - Data Scientist - Vice President

    JPMorgan Chase (New York, NY)
    …especially in Operational Risk Management, Anti-Money Laundering & Know Your Customer, Trade Surveillance model development 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 Morgan and Chase brands. Our history spans over 200… more
    JPMorgan Chase (10/04/25)
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  • Product Manager - Risk & Investment Analytics…

    Bloomberg (New York, NY)
    Product Manager - Risk & Investment Analytics - Market Surveillance Data Location New York Business Area Product Ref # 10045195 **Description & Requirements** ... to proactively manage credit and liquidity risk throughout the trade life cycle. The team also continues to innovate...and strategically driven Product Manager to lead our Market Surveillance Data Products portfolio. In this role, you will… more
    Bloomberg (08/08/25)
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  • Deputy Chief Compliance and Risk Officer,…

    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
    HUB International (08/21/25)
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  • Fixed Income Compliance Manager

    Citizens (New York, NY)
    …& Trading teams. + Monitor trading activity and resolve exceptions related to trade reporting, order handling, and surveillance alerts. + Conduct daily reviews ... dealer. + In-depth knowledge of SEC and FINRA rules ( trade reporting, markups/markdowns, suitability, communications). + Familiarity with regulatory initiatives… more
    Citizens (09/19/25)
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