- JPMorgan Chase (Jersey City, NJ)
- … behavior. Working closely with Line of Business (LOB) management and LOB Compliance stakeholders, as well as global/regional Surveillance teams, you will be ... tasks in a high-paced environment. **Job Responsibilities** + Review surveillance output and analyze trading and market...skills** + Bachelor's Degree + 3+ years of Trade Surveillance or other compliance , regulatory, or related… more
- Citigroup (Jersey City, NJ)
- …/Control related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and ... requirements on a transaction-specific basis. + Liaise with other legal and compliance groups to address information barrier issues, trading in equities… more
- Coinbase (Trenton, NJ)
- …Providing senior compliance oversight to all aspects of CCM, including trading , reporting, policies and procedures and training. * Coordinate closely with cross ... and alignment. Attendance is expected and fully supported. The Institutional Compliance team supports the Institutional Product Group to develop effective … more
- TD Bank (Mount Laurel, NJ)
- …controls), Expense fraud, Third Party and Procurement Fraud, Rogue / Unauthorized trading fraud (including controls around trader mandate, supervision, and trade ... surveillance ) + Technology / access management controls (entitlements /...Self-Assessment, Business Continuity Management, Outsourcing & Vendor Management, Regulatory Compliance (eg CDIC, AML, Privacy, IDA, CBA, SOX, Basel… more
- TD Bank (Mount Laurel, NJ)
- …controls), Expense fraud, Third Party and Procurement Fraud, Rogue / Unauthorized trading fraud (including controls around trader mandate, supervision, and trade ... surveillance ) + Technology / access management controls (entitlements /...for coordinating business continuity management (BCM) processes and supporting regulatory/ compliance related initiatives impacting overall risks to the business… more