- 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
- Raymond James Financial, Inc. (New York, NY)
- …and implements added execution algos and enhancements for Raymond James electronic trading business. + Analyzes and provides quantitative analysis of Raymond James ... sources. + Creates back-testing models to evaluate and optimize the firm's trading strategies. + Initiates and maintains excellent working rapport with business… 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
- TD Bank (New York, NY)
- …as needed, and providing advice and support, as required. Within the Global Compliance Department, the Global Surveillance Team is responsible for conducting ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $200,000 USD TD is...surveillance of communications and trading as it relates the market manipulation, collusion and… more
- TD Bank (New York, NY)
- …with stakeholders across various functions including the Business, Risk, Trade Surveillance , Compliance , and Technology. This position will require an ... is a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business partners have adequately considered,… 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
- 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
- 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)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $145,000 - $185,000 USD TD is committed to providing fair ... who can provide you more specific details for this role. **Job Description:** This VP, Compliance is a key member of the TDS US Compliance Monitoring & Testing… more