- JPMorgan Chase (Jersey City, NJ)
- …**Required qualifications, capabilities, and skills** + Bachelor's Degree + 3+ years of Trade Surveillance or other compliance , regulatory, or related ... status quo, and striving to be best-in-class. As a Surveillance Lead Vice President within the North...President within the North America and Latin America Swaps Trade Surveillance team, you will play a… more
- Charles Schwab (Westlake, TX)
- …will report to the Director, Head of Compliance Data Analytics, Monitoring and Trade Surveillance and lead the team's execution of the mission while ... and engaging compliance professional to join our Compliance Trade Surveillance Team as...and organizational expectations. Position Summary: The Senior Manager will lead digital asset trade surveillance … more
- TD Bank (New York, NY)
- …enhance reporting mechanisms for senior management. + Stakeholder Engagement: Collaborate with Trade Surveillance teams, CDO, Compliance Technology, and ... ideal candidate will have strong expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at a large investment… more
- TD Bank (New York, NY)
- …work experience + 5-7 Years of related experience working with Fixed Income products in Compliance trade surveillance , trade settlements, or a trading ... Compliance Officer) to join the new Fixed Income Trade Surveillance team. Preferred 3-5 years of...+ Individual contributor role providing specialized expertise or may lead a small team of specialists + Considered a… 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 ... Compliance team is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This...will have deep expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at… more
- Capital One (New York, NY)
- …Manager (Broker-Dealer & Swap Dealer) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and enhance the firm's ... **Preferred Qualifications** + Advanced degree + 6+ years of trade surveillance , market regulation, or 6+ years compliance experience within a Broker-Dealer… more
- Scotiabank (New York, NY)
- …internal policies. The successful candidate will leverage their expertise to lead compliance audits for trade surveillance to identify potential market ... Charge (OIC) and leads the planning, execution and reporting of Global trade surveillance Compliance Audit by assessing the control effectiveness and Bank's… more
- Deloitte (Chicago, IL)
- …more of the following areas - Trade surveillance , communications surveillance , control room / information barriers compliance , or 1 st line ... supporting systems for either trade surveillance , communications surveillance , control room/information barriers, employee compliance + Strong technical… more
- TD Bank (New York, NY)
- …This role requires experience within the financial services industry, specifically in compliance , trade surveillance and/or capital markets domains including ... languages, databases, and development frameworks. . Knowledge of financial industry trade surveillance , market abuse monitoring and/or global markets domain… more
- Wells Fargo (Iselin, NJ)
- …this role:** Wells Fargo is seeking a Surveillance Engineering Manager to lead the modernization of trade surveillance platforms across asset classes ... platform scalability and integration with vendor/in-house systems (eg, Actimize, Protegent Trade Compliance , Nasdaq SMARTS, TradingHub). + Champion Agile and… more