- TD Bank (New York, NY)
- …team is looking for an Associate candidate (Senior Compliance Officer) to join the new Trade Surveillance team. Preferred 3-5 years of experience in trade ... members should participate in the discussion * Gain an understanding of new trade surveillance modules and surveillance tools * Keep current on emerging… more
- Trading Technologies International (Chicago, IL)
- …and analytics, including transaction cost analysis (TCA); quantitative trading; compliance and trade surveillance ; clearing and post‑ trade allocation; and ... asset classes, functions, workflows, and geographies. This multi‑X approach features trade execution services across futures and options, fixed income, foreign… more
- Trading Technologies International (Chicago, IL)
- …and analytics, including transaction cost analysis (TCA); quantitative trading; compliance and trade surveillance ; clearing and post‑ trade allocation; and ... asset classes, functions, workflows, and geographies. This multi‑X approach features trade execution services across futures and options, fixed income, foreign… more
- P2P (San Francisco, CA)
- …with crypto‑specific regulations: customer onboarding, crypto transaction monitoring, crypto trade surveillance , sanctions screening, law enforcement inquiries, ... validation, and ongoing customization of KYC and blockchain monitoring and surveillance systems. Provide advisory support to Business teams regarding regulatory… more
- Baringa Partners LLP (Houston, TX)
- …climate, etc.), regulatory & compliance capability assessment & design (KYC, AML, trade surveillance , etc.) Technology Advisory & Transformation - technology ... strategy & architecture design, IT operating model design, technology capability building, technology program QA & health checks, vendor selection & implementation Your skills and experience Our Director positions require 10+ years of experience in a… more
- TD Bank Group (New York, NY)
- …related to Global Markets operations, focusing on trading and related activities, surveillance , trade reporting and relevant securities rules and regulations. ... Depth & Scope: Coordinates internal Management involvement with counsel and legal issues Provides legal counsel to Management within the organization Identifies and analyzes legal issues, drafts key documents, makes recommendations, and assists to enhance… more
- PowerToFly (New York, NY)
- …is seeking an Analyst or Associate to join its US Portfolio Surveillance /Investment Compliance team within the COO office. The successful candidate will provide ... proactive servicing, problem solving, risk mitigation and project work, and daily surveillance tasks. The candidate will coordinate with colleagues in EMEA and Asia… more
- HUB International (Scottsdale, AZ)
- …and effectiveness of the policies and procedures which support Rule 206(4)-7.* Email surveillance / personal trade reviews / marketing material reviews* Develop ... of 1940;* Assist in conducting ongoing compliance reviews, internal investigations and surveillance to evaluate and test for compliance with applicable SEC rules,… more
- Nextgenfed (Washington, DC)
- …operational test plans for homeland defense technologies, such as border surveillance systems, non-intrusive inspection equipment, and trade facilitation ... Hands‑on experience with homeland defense technology systems, such as border surveillance , non‑intrusive inspection technologies, or trade compliance systems.… more
- Leidos (Oklahoma City, OK)
- …provide support the operations support and engineering services to the En Route Surveillance Team, Long Range Radar in the radar systems and their associated ... Primary Responsibilities Understand the technical requirements of the En Route Surveillance Team and the associated radar systems and provide system engineering… more
