- ManpowerGroup (New York, NY)
- …+ **Prior experience in:** + Trading desks, or product control, compliance or trade surveillance + Reviewing, investigating, and escalating trade ... client, a leading financial institution, is seeking a **Trade Surveillance Consultant** to join their team in New York...ton of exposure by collaborating directly with leaders across compliance , tech, and trading . You will work… more
- Motion Recruitment Partners (New York, NY)
- …documentation is ideal. **What You Will Be Doing** * Use hands-on experience with trading systems to support the operations, compliance , and governance of the ... Trading Systems Analyst New York, NY **Onsite** Contract...* Assist in providing support services related to supervisory, compliance , surveillance , recordkeeping, and reporting obligations. *… more
- Raymond James Financial, Inc. (New York, NY)
- …and implements added execution algos and enhancements for Raymond James electronic trading business. + Analyzes and provides quantitative analysis of Raymond James ... sources. + Creates back-testing models to evaluate and optimize the firm's trading strategies. + Initiates and maintains excellent working rapport with business… more
- TD Bank (New York, NY)
- …detect anomalies in surveillance data. + Cross-Functional Leadership: Partner with Compliance , Risk, Trading , and Technology teams to optimize data workflows ... bank/systemically important financial institution in the US. Our team of trusted Surveillance Compliance professionals engages with key stakeholders across TD… more
- TD Bank (New York, NY)
- …and global regulatory expectations. **Department Overview:** Our team of trusted Surveillance Compliance professionals engages with key stakeholders across TD ... global Markets business, by delivering and comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance… more
- Mizuho Corporate Bank (New York, NY)
- Job Description The Compliance function manages compliance and regulatory risk by establishing compliance policies, providing training, conducting ... and coordinating regulatory examinations and relations. Summary The AML Surveillance Associate is responsible for ensuring efficient identification and monitoring… more
- CIBC (New York, NY)
- … trading desk's daily business activities; and 6) monitoring sales and trading activities to ensure compliance with CIBC policies and regulatory requirements. ... regulatory matters and provide clear and insightful guidance to senior management and trading personnel; + Ability to manage Compliance technology projects; +… more
- Mizuho Corporate Bank (New York, NY)
- …clear, actionable technical specifications. Lead the analysis and design of compliance technology solutions, including surveillance , case management, and ... of compliance systems, including case management, regulatory reporting, and surveillance tools. + Ensure that all compliance technology solutions meet… more
- TD Bank (New York, NY)
- …+ Evaluate practical applicability of Firm policies to Electronic and automated (Algo) trading and sales activities in coordination with Compliance or relevant ... surveillance and business conduct reviews. + Compile Electronic Trading management reporting on trade capture metrics, regulatory scorecards, policy exceptions… more
- Marex (New York, NY)
- …US Broker Policies and Procedures and Written Supervisory Procedures. + Provide Compliance Advisory services for US Broker Trade Surveillance process. + ... For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance … more