- Citigroup (Getzville, NY)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Personal Trading & Outside Activities team responsible for assisting ... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice… more
- BP Americas, Inc. (New York, NY)
- …energy company! The Compliance Manager is a key member of the Ethics & Compliance ("E&C") team supporting Trading & Shipping's ("T&S") Gas & Power Trading ... Compliance Manager and is primarily responsible for performing surveillance of business activities, influencing culture, delivering training and providing… more
- Pilot Company (Houston, TX)
- …to these policies. + Responsible for the analytical implementation of the daily surveillance program related to commercial trading activity. Work involves all ... commodities and financial derivatives required. Advanced experience preferred. + Experience in trading , risk management, compliance , MS excel, data mining, VBA,… more
- Bloomberg (New York, NY)
- SEF Compliance Surveillance Lead and Advisory ...The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; ... + A minimum of 7 years' derivatives, swaps and/or commodities products compliance + Experience conducting trade surveillance , real-time market monitoring and… more
- Truist (New York, NY)
- …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)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and ... related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and ... related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and… more
- Mizuho Corporate Bank (New York, NY)
- …The individual will be joining the Compliance Surveillance team. The surveillance team is responsible for monitoring trading in all asset classes, to ... (CAT), and FINRA TRAQS (ORF & TRACE) Knowledge of best practices, and surveillance procedures of securities industry compliance reviews Strong organizational and… more
- Bank of America (Charlotte, NC)
- …of the Compliance Surveillance Specialist include execution of trade- surveillance alerts, identifying and escalating potential insider trading and ... The role will be aligned almost exclusively to GWIM insider- trading surveillance in the short term, but...the medium and long term. The Compliance Surveillance Specialist has intermediate knowledge of insider- trading … more
- Citigroup (Getzville, NY)
- Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and ... related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and… more