- 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
- Raymond James Financial, Inc. (New York, NY)
- …client interaction and communication, training and staff development, systems integration, trade surveillance . + Advanced math and analytics sufficient for ... + Analyzes and provides quantitative analysis of Raymond James (RJ) historical trade data from several sources. + Creates back-testing models to evaluate and… more
- JPMorgan Chase (New York, NY)
- …provide compliance advice and guidance on regulatory topics + Review and disposition trade alerts escalated from Trade Surveillance and reporting/escalation ... to the Market Conduct Violation Program + Assist in the completion of Compliance Risk Assessment matters, including challenges + Manage the expert networks process, including chaperoning calls + Develop and provide instructor-led compliance training + Make… more
- TD Bank (Charlotte, NC)
- …Unauthorized trading fraud (including controls around trader mandate, supervision, and trade surveillance ) + Technology / access management controls ... (entitlements / least privilege, SOD, MFA), data security / protection (encryption, masking) + Insider risk alert vetting and investigations function + HR controls (onboarding, offboarding, etc.) + Strong knowledge of banking regulations and industry standards… more
- Robert Half Legal (Boston, MA)
- …Trading Compliance Group with preparing materials for client certifications and reviewing trade surveillance reports to identify and escalate exceptions. * ... Ensure all tasks and projects are completed accurately and within established deadlines. Requirements * Proficiency in Microsoft Word, especially in handling large documents with advanced formatting, hyperlinks, and procedural layouts. * Expertise in Microsoft… more
- JPMorgan Chase (New York, NY)
- …industry especially in Operational Risk Management, Anti-Money Laundering & Know Your Customer, Trade Surveillance model development + Experience with EKS or AKS ... provisioning is a plus JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the JP… more
- SMBC (Jersey City, NJ)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... Department is seeking a highly skilled Executive Director, Head of Communications Surveillance to lead and enhance its communications surveillance framework… more
- Leidos (Reston, VA)
- …the next step toward Captain or Trainer roles within our mission-focused Dash 8 surveillance fleet. These roles offer a unique opportunity to fly with purpose, work ... Cairns or Broome** , you'll join a dedicated team delivering aerial border surveillance under contract to the Australian Government - the world's largest outsourced… more
- Intertek (OH)
- Adhoc Vendor Surveillance Inspector - Ohio Intertek, a leading provider of quality and safety solutions to many of the world's top-recognized brands and companies, ... is actively seeking an Adhoc Vendor Surveillance Inspector to join our Technical Inspection Services team...Requirements & Qualifications: + High School Diploma or GED, Trade School, On-The-Job Training or University Diploma + 5+… more
- Leidos (Bethesda, MD)
- …**Leidos** has a new and exciting opportunity for a **Technical Surveillance Countermeasures Professional** in our **National Security Sector's (NSS) Cyber & ... National Security!** **Job Summary** : Leidos is seeking a Technical Surveillance Countermeasures Professional for our client's operational requirements on a mission… more