- Chevron Corporation (Houston, TX)
- …support trading compliance program and initiatives, including but not limited to trade surveillance , training, commodity trading regulation advice and compliance ... include but are not limited to:** + Active lead participant in all trade surveillance and regulatory compliance matters for Supply & Trading. + Interaction with… more
- TD Bank (Marlton, NJ)
- …Management Services Inc. (TDWMSI). The Central Supervision Analyst performs essential trade surveillance and electronic communications monitoring functions. This ... organization. **Depth & Scope:** + Performs various monitoring activities including trade and electronic communication reviews on a day-to-day basis, adhering to… more
- Marex (New York, NY)
- …Written Supervisory Procedures. + Provide Compliance Advisory services for Swap Dealer Trade Surveillance process and other Compliance functions. + Conduct ... provide guidance to Compliance teams that support those businesses (such as Surveillance ). Implementation of the MDP and MSP Compliance programs may include… more
- 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 (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 (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 (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
- Janus Henderson Investors (Denver, CO)
- …+ Ability to work with complexity and ambiguity Nice to have skills + Trade Surveillance /monitoring related experience within an Asset Management Firm + ... accordance with the compliance monitoring plan. + Conduct thorough investigations of trade and communication surveillance alerts. + Liaise with key stakeholders… more
- 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
- JPMorgan Chase (Jersey City, NJ)
- …for assessing the risks associated with models used for sanctions screening, trade surveillance , transaction monitoring, and other models within Compliance. You ... Prior experience in modeling, reviewing or managing models for sanctions screening, trade surveillance or transaction monitoring is desirable. + Experience with… more