- Charles Schwab (Westlake, TX)
- …and engaging compliance professional to join our Compliance Trade Surveillance Team as a Senior Manager , Digital Asset Trade Surveillance . ... Head of Compliance Data Analytics, Monitoring and Trade Surveillance and lead the team's execution...The Senior Manager will lead digital asset trade surveillance while supporting Trade … more
- TD Bank (New York, NY)
- … Compliance team is looking for Vice President candidates to join the trade surveillance team, specializing in Fixed Income Products, Foreign Exchange and ... of issues + Network with other colleagues in Global Surveillance and the wider Compliance teams and...in the discussion + Gain an understanding of new trade surveillance modules and surveillance … more
- Capital One (New York, NY)
- Trade Surveillance Manager (Broker-Dealer...Advanced degree + 6+ years of trade surveillance , market regulation, or 6+ years compliance ... **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead...efforts. **Leadership & Collaboration** + Manage, train, and develop surveillance analysts, fostering a culture of compliance ,… more
- Scotiabank (New York, NY)
- …Officer in Charge (OIC) and leads the planning, execution and reporting of Global trade surveillance Compliance Audit by assessing the control effectiveness ... Senior Audit Manager , Audit Department - Trade Surveillance **Requisition ID:** 246539 **Salary...of a comprehensive and strategic audit plan for Global Compliance Trade Surveillance , ensuring auditable… 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...have regular career, development, and performance conversations with your manager , as well as access to an online learning… 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
- L3Harris (Greenville, TX)
- …Census through data gathering and corrective action execution as instructed by the Global Trade Compliance Manager . Essential Functions: + Ensure regulatory ... of Intelligence, Surveillance and Reconnaissance (ISR) Sector. Trade Compliance Specialist will serve as a...the local Empowered Official as appropriate. + Notify Global Trade Compliance Manager of any… more
- Deloitte (Princeton, NJ)
- …more of the following areas - Trade surveillance , communications surveillance , control room / information barriers compliance , or 1 st line ... with and add value to our clients. As a Manager , you will have opportunities to: + Lead project...for either trade surveillance , communications surveillance , control room/information barriers, employee compliance +… more
- Wells Fargo (Iselin, NJ)
- …a Surveillance Engineering Manager to lead the modernization of trade surveillance platforms across asset classes including equities, fixed income, FX, ... platform scalability and integration with vendor/in-house systems (eg, Actimize, Protegent Trade Compliance , Nasdaq SMARTS, TradingHub). + Champion Agile and… more
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