- ManpowerGroup (New York, NY)
- …+ **Prior experience in:** + Trading desks, or product control, compliance or trade surveillance + Reviewing, investigating, and escalating trade ... client, a leading financial institution, is seeking a **Trade Surveillance Consultant** to join their team in New York...ton of exposure by collaborating directly with leaders across compliance , tech, and trading . You will work… 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
- TD Bank (New York, NY)
- …levels of Trading & Sales Management dependent on the task + Facilitates the surveillance of Trading and Sales activities to be in line with regulatory rules ... details for this role. **Job Description:** The Associate - Trading Business Management (TBM) is responsible for helping TD...+ Administering Global Markets Swap Dealer and Volcker Business Compliance Programs; and Codes of Conduct + Assist in… more
- TD Bank (New York, NY)
- …bank/systemically important financial institution in the US. Our team of trusted Surveillance Compliance professionals engage with key stakeholders across TD ... global Markets business, by delivering and comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance… more
- Truist (Atlanta, GA)
- …to review alerts and investigate potential compliance issues. 2. Performs surveillance of trading activities to identify potential instances of market ... job description:** An independent team within CIB - Sales, Trading and Research that supports the Surveillance ...Surveillance program within CIB. The team performs trade surveillance activities, working with traders, compliance , and… more
- Citigroup (Jersey City, NJ)
- …/Control related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and ... requirements on a transaction-specific basis. + Liaise with other legal and compliance groups to address information barrier issues, trading in equities… 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
- TD Bank (New York, NY)
- …and global regulatory expectations. **Department Overview:** Our team of trusted Surveillance Compliance professionals engages with key stakeholders across TD ... global Markets business, by delivering and comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance… more
- Citigroup (Getzville, NY)
- …Electronic Communications Surveillance Intermediate Associate Analyst serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s ... related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and… more
- Mizuho Corporate Bank (New York, NY)
- The Compliance function manages compliance and regulatory risk by establishing compliance policies, providing training, conducting compliance reviews, ... activities and transactions at Mizuho, ensuring timely reporting to the AML Compliance Manager. This role also involves reviewing AML cases, conducting research,… more
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