- TD Bank (New York, NY)
- …role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The team ... Markets business , by delivering and comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance 's… more
- Wells Fargo (Charlotte, NC)
- …related to Equities Trade Surveillance + Manage key relationships with Business Heads, Desk Heads, Compliance , Chief Operating Office(COO) and CIB Control ... us! **About this role:** Wells Fargo is seeking a **Lead Control Management Officer ** within Equities Trade Surveillance . The Corporate & Investment Banking… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform ... reporting control issues with transparency. **Qualifications:** + 6+ Years serving in a compliance or surveillance role within financial services preferred + 3+… more
- Saratoga Casino Hotel (Saratoga Springs, NY)
- …Saratoga Casino Hotel welcomes you to apply! Your Role: Our successful Surveillance Officers promote outstanding relations with all guests and fellow Team Members ... Role: + At least 18 years of age + Previous experience in casino surveillance preferred. + Excellent written and verbal communication skills required. + Ability to… more
- TD Bank (New York, NY)
- …: New York, New York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is committed to ... and alert escalations * Co-ordinate requests to and from, business ( Compliance ) partners and coordinate tracking and...of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and… more
- TD Bank (New York, NY)
- …Markets business , by delivering and comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance 's ... York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $150,000 - $250,000...financial institution in the US. Our team of trusted Surveillance Compliance professionals engages with key stakeholders… more
- Securitas Security Services USA, Inc. (Goodyear, AZ)
- …and timely execution. This role can also function in the capacity of a Surveillance Officer as a working shift supervisor. Completes all necessary reports, shift ... video forensics by identifying safety risks, investigating product losses, and operational compliance at client location. The Surveillance Room Supervisor will… more
- Sycuan (El Cajon, CA)
- …and operates a Casino and a Golf Resort, and owns a number of other business ventures in the San Diego Region. One attribute that remains unchanged, however, is ... Sycuan's sense of community. Sycuan is more than just a business . Sycuan is a community of people working together toward a common goal. Whether you work in our… more
- HUB International (New York, NY)
- …SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a highly visible, senior ... leadership position, reporting directly into the Global/Executive Chief Compliance and Risk Officer , working closely with RPW senior leadership to collectively… more
- SMBC (New York, NY)
- …Audit findings or recommendations; + M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member + Coordinate with ... Risk Assessment + Communications and Transaction Surveillance + Employee Compliance (ie, Registrations, Outside Business Activities and Personal Account… more