- Marex (New York, NY)
- …Written Supervisory Procedures. + Provide Compliance Advisory services for US Broker Trade Surveillance process. + Provide Compliance Advisory services for US ... Compliance Calendar deadlines are achieved. + Work with business partners (ie, Surveillance , IT, Operations etc.) to develop and enhance systems, tools, reports, and… more
- Robert Half (Charlotte, NC)
- …audit, or consulting. + Strong knowledge of AML, sanctions, fraud, and trade surveillance frameworks. + Experience working with cryptocurrency or fintech ... and support regulatory certifications + Manage implementation of enterprise-wide surveillance enhancements, including transaction monitoring and case management systems.… 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
- 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
- Wells Fargo (Iselin, NJ)
- …with Hadoop, Hive, Impala, Spark, and Python Flask and Kafka. + Experience in Trade Surveillance , Control Room Domain. + Experience with D3.js, Angular, DSE ... Graph, Gremlin, Spark, Kafka, Scala, Python Flask Salary: $179,982 - $224,000 **Pay Range** Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work… more
- JPMorgan Chase (New York, NY)
- …especially in Operational Risk Management, Anti-Money Laundering & Know Your Customer, Trade Surveillance model development 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 Morgan and Chase brands. Our history spans over 200… more
- Vanguard (Malvern, PA)
- …as an escalation point for compliance program monitoring, testing, risk assessments, and trade surveillance . + Support the wider Global Fund, Advisor, and ... Distribution team as needed. + Participates in special projects and perform other duties as assigned. Qualifications + Minimum of five years related work experience, with at least two years within a financial services compliance function. Regulatory,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …FL._** **Job Summary** This role is specific to the in-house Case Manager build for Trade , Surveillance and Account reviews. In this role you are required to act ... as a partner with the business to facilitate and implement the most optimal technology solutions, and ensuring they meet the business and organizational needs. You will be responsible for writing system requirements that guarantee the technology solution… 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
- Santander US (Boston, MA)
- …representatives, branch offices, and trading activity. * Review exception reports, trade blotters, and surveillance alerts to identify potential issues. ... with clearing firms, counterparties, and technology providers to ensure smooth trade processing and settlement. * Oversee the firms trading operations, ensuring… more