- JPMorgan Chase (Jersey City, NJ)
- …for diverse stakeholder audiences + Should be subject matter expertise in Regulatory, Trade surveillance platforms and capital markets + Should advocate and ... analytics and technical program delivery. As a Lead Solutions Analyst in Corporate Oversight & Governance Tech team, you...audiences + Candidate must have strong knowledge in Regulatory, Trade surveillance platforms and capital markets +… more
- TD Bank (New York, NY)
- …mechanisms for senior management. + Stakeholder Engagement: Serve as primary contact to Trade Surveillance teams, CDO, Compliance Technology, and Front ... The ideal candidate will have deep expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at a large investment… more
- TD Bank (New York, NY)
- … with departmental review procedures. The incumbent will collaborate closely with Trade Surveillance and Communications Surveillance Team leads, who ... and global regulatory expectations. **Department Overview:** Our team of trusted Surveillance Compliance professionals engages with key stakeholders across TD… more
- Citigroup (New York, NY)
- …Non-Financial Risk group and more specifically within Conduct Risk. Predominantly operating trade surveillance within the Global Spread Products business, but ... financial services that enable growth and economic progress. **Team/Role Overview** This GSP Trade Monitoring role sits in the First Line of Defense and focuses on… more
- Phillips 66 (Houston, TX)
- …with internal policies and external regulatory requirements; and conducting trade surveillance and monitoring activities. The CTC Compliance Analyst role ... compliance obligations and responsibilities to the exchanges and applicable regulators. . Trade Surveillance - Conduct risk-based trade surveillance … more
- NextEra Energy (Juno Beach, FL)
- **Sr. Compliance Analyst - Energy Mktg** **Date:** Sep 2, 2025 **Location(s):** Juno Beach, FL, US, 33408 **Company:** NextEra Energy **Requisition ID:** 89715 ... fast-paced energy industry, join our team today. **Position Specific Description** Support the compliance team and Director Trade Compliance with the… more
- Robert Half Finance & Accounting (Boston, MA)
- Description Our client is a boutique Wealth Management firm looking to bring onboard a Compliance Analyst . The role is in Boston, mostly in office. This role ... annual supervisory controls testing, review and approve advertising, sales literature, trade corrections, and other compliance matters, while investigating… more
- TD Bank (Greenville, SC)
- …Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central Supervision Analyst performs essential trade surveillance and electronic communications ... dispositions flagged trades, trends and patterns identified by the FIS Supervision Compliance Manager (FIS CM) automated surveillance system and escalates… more
- SMBC (Jersey City, NJ)
- …(FIU) Analyst is responsible for the completion of more complex day-to-day compliance efforts related to transaction surveillance or the quality control of ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...in accordance with AML policy and procedures. The FIU Analyst may also be a subject matter expert and… more
- Sandia National Laboratories (Albuquerque, NM)
- …Systems Organization (5373) is seeking a motivated radio frequency (RF) signal processing analyst to join their team. This position focuses on design, analysis, and ... systems. Key Responsibilities: + Perform analysis, high-level systems design, trade -off studies, and requirements definition for radar, communications and… more