- CHS Inc. (Inver Grove Heights, MN)
- …and energy commodities. CHS's Compliance & Integrity team is seeking a Global Trading Compliance and New Product Risk Senior Director to oversee, monitor and ... role, the Senior Director will lead the development, governance and administration of trading compliance and new product risk management activities across the… more
- ExxonMobil (Spring, TX)
- …monitoring and surveillance techniques based on changes to the business's trading activity and/or the latest rules and regulations * Ensure existing requirements ... * Compliance experience in futures, financial and physical commodities trading * Working knowledge of commodity regulations/reporting * Experience with risk… more
- JPMorgan Chase (Jersey City, NJ)
- … behavior. Working closely with Line of Business (LOB) management and LOB Compliance stakeholders, as well as global/regional Surveillance teams, you will be ... tasks in a high-paced environment. **Job Responsibilities** + Review surveillance output and analyze trading and market...skills** + Bachelor's Degree + 3+ years of Trade Surveillance or other compliance , regulatory, or related… more
- TD Bank (New York, NY)
- … Compliance team is looking for Vice President to join the Trade Surveillance team focused on Communications. The VP Compliance TDS oversees/leads a team(s) ... of issues + Network with other colleagues in Global Surveillance and the wider Compliance teams and...Work closely with the other stakeholders, such as Advisory Compliance , the Trading desks and Technology. +… more
- TD Bank (New York, NY)
- …detect anomalies in surveillance data. + Cross-Functional Leadership: Partner with Compliance , Risk, Trading , and Technology teams to optimize data workflows ... bank/systemically important financial institution in the US. Our team of trusted Surveillance Compliance professionals engages with key stakeholders across TD… more
- Wells Fargo (New York, NY)
- …a **Lead Compliance Officer** in Corporate Risk as part **Trade Surveillance Oversight** Team. This role will be responsible for providing oversight of the ... futures a plus. + Proven track record of improving processes and enhancing surveillance applications ( Trading Hub, Actimize ActOne, Protegent, Catalyst, GMI) + … more
- Capital One (New York, NY)
- …day-to-day surveillance operations, maintain robust controls around the monitoring of trading activity, and ensure ongoing compliance with SEC, FINRA, CFTC, ... analytical capabilities, sound judgment, and a proven track record supervising surveillance teams within a highly regulated trading environment.… more
- MUFG (Irving, TX)
- …guidance overseen by the Compliance Group. This influential position will perform compliance testing reviews on the Sales & Trading business units with focus ... and procedures, including their extra-territorial application. Experience with markets compliance , markets surveillance , compliance monitoring, auditing… more
- CIBC (New York, NY)
- …the time of your interview. **How You'll Succeed** + Supervise and conduct surveillance of the US registered broker-dealer securities trading products, as well ... responsible for the supervision of all US sales and trading desks within Global Markets. The supervisory program is...do occur. Regulatory Supervision is a business role (not Compliance ) and is delegated the responsibility to supervise on… more
- TD Bank (New York, NY)
- …the financial services industry, specifically in compliance , trade surveillance and/or capital markets domains including trading lifecycles. ... solutions that support scalable, secure, reusable solutions across the Compliance , Surveillance and Supervision area. Responsibilities include planning,… more
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