• Director , Trade Surveillance…

    TD Bank (New York, NY)
    …TD Securities Compliance team is seeking a Director -level candidate to lead the Surveillance Data Quality Team. This is a global role, the incumbent will ... The ideal candidate will have deep expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at a large… more
    TD Bank (06/07/25)
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  • Manager, Trade Surveillance…

    TD Bank (New York, NY)
    …be part of the broader Surveillance Intelligence Unit, comprised of the Surveillance Data Quality Team, Surveillance Quantitative Analysis Team, and ... compliance with departmental review procedures. The incumbent will collaborate closely with Trade Surveillance and Communications Surveillance Team leads,… more
    TD Bank (05/22/25)
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  • Senior Compliance Officer - Surveillance…

    TD Bank (New York, NY)
    …team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The team supports the Trade and Communications Surveillance ... ideal candidate will have strong expertise in financial markets, data governance, trade surveillance systems,...surveillance data quality issues. Support the Data Quality Director in reporting on … more
    TD Bank (07/22/25)
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  • Head of E-Comm Surveillance

    SMBC (Jersey City, NJ)
    …**Role Description** SMBC's Compliance Department is seeking a highly skilled Executive Director , Head of Communications Surveillance to lead and enhance its ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...the Americas. This role reports directly to the Managing Director , Head of Surveillance , Control Room, and… more
    SMBC (06/23/25)
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  • Executive Director , Swap Dealer Compliance…

    CIBC (New York, NY)
    …Dealer Compliance Officer is responsible for performing important advisory, training, surveillance and analytical functions to support CIBC's Swap Dealer Compliance ... + Ability to develop and maintain automated exception based surveillance reports: + Strong interpersonal skills in order to...Proficiency Exam holder is a plus; and + Swap Trade reporting experience is a plus. + **Values matter… more
    CIBC (07/25/25)
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  • Associate, Data Analytics

    SMBC (Jersey City, NJ)
    …of benefits to its employees. **Role Description** Reporting into the Managing Director , Compliance Data and Analytics, in the Compliance Department, Americas ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...following technologies to build analysis and drive insights from data : + Actimize Surveil-X Communications Surveillance (v4.8)… more
    SMBC (07/08/25)
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