- TD Bank (New York, NY)
- …regulatory compliance by developing and maintaining a comprehensive Trade Surveillance program, including identifying emerging risks, regulatory developments ... This position will focus on the trade surveillance portfolio and related initiatives. The VP Compliance...on findings and/or recommendations for enhancements, to the Global Head of Surveillance and Compliance … more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department is seeking a highly skilled Executive Director, Head of Communications Surveillance to lead and enhance its communications ... Americas. This role reports directly to the Managing Director, Head of Surveillance , Control Room, and Conflicts...+ Act as a trusted liaison between the Americas Compliance function and key internal stakeholders, including Head… more
- TD Bank (New York, NY)
- …Compliance team is seeking a VP Compliance Manager for the brand new Trade Surveillance Quality Assurance team to develop and build out a global ... with departmental review procedures. The incumbent will collaborate closely with Trade Surveillance and Communications Surveillance Team leads, who… more
- Lowe's (Flemington, NJ)
- …and promptly communicates them to management and/or Asset Protection * Ensures compliance with housekeeping standards and programs (eg, Zone Recovery) to maintain ... phone, telephone, paging system, copiers, fax machines, computers, CCTV surveillance system, key cutter, panel saw, paint mixer, flooring...* 1 to 2 years of experience as a head cashier * 1 to 2 years of experience… more
- BMO Financial Group (Chicago, IL)
- …oversight as appropriate. + Implements and maintains an appropriate monitoring, surveillance and/or assessment function that provides reasonable assurance of ... compliance with their respective policies and frameworks + Monitors...advises the business and stakeholder leadership with respect to trade -offs. + Speaks authoritatively with regulatory officials with respect… more
- Citigroup (New York, NY)
- …Non-Financial Risk group and more specifically within Conduct Risk. Predominantly operating trade surveillance within the Spread Products business, but there ... enable growth and economic progress. **Team/Role Overview** This SP Trade Monitoring role sits in the First Line of...+ 5-10 years' experience in credit related middle office, surveillance , risk management and/or regulatory compliance in… more
- First National Bank of Omaha (Minneapolis, MN)
- …of the Trading Desk, Sales Supervision Manager and Compliance to monitor trade activity, exception reporting, and surveillance reviews Assist in FINRA TRACE ... to trading platforms and systems as it relates to trade support functions. ** Compliance & Risk Controls**...support a strong control environment. In partnership with the Head of Trading, ensure compliance with FINRA,… more
- SMBC (Jersey City, NJ)
- …to the FIU VP, the FIU Associate is responsible for the day-to-day compliance efforts related to transaction surveillance , including the completion of assigned ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...is responsible for the delegation and oversight of day-to-day compliance efforts related to transaction surveillance . This… more
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