• VP , Compliance - Trade…

    TD Bank (New York, NY)
    …Description:** The TD Securities US 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 specialists/professionals providing advice,...of issues + Network with other colleagues in Global Surveillance and the wider Compliance teams and… more
    TD Bank (05/21/25)
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  • Compliance - Surveillance Lead…

    JPMorgan Chase (Jersey City, NJ)
    …Conduct and Operational Risk (CCOR) - Surveillance Lead (Wealth Management Trade Surveillance ) - Vice President , you will play a crucial role in Risk ... qualifications, capabilities, and skills: + Prior financial services experience in Trade Surveillance or other Compliance function + FINRA General Securities… more
    JPMorgan Chase (05/08/25)
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  • Trade Surveillance Vice…

    TD Bank (New York, NY)
    …**Job Description:** The TDS US Compliance team is looking for Vice President candidates to join the trade surveillance team. Preferred 5-10 years of ... Foreign Exchange and Commodities, Equities Options and Futures. The VP Compliance TDS oversees/leads a team(s) of...in the discussion * Gain an understanding of new trade surveillance modules and surveillance … more
    TD Bank (05/01/25)
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  • Compliance Transformation Project Manager…

    SMBC (New York, NY)
    …offers a competitive portfolio of benefits to its employees. **Role Description** The Vice President , Compliance Transformation Project Manager manages ... regulatory environment, and maintaining effective communications and reporting. The successful Vice President , Compliance Transformation Project Manager has… more
    SMBC (04/26/25)
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  • Vice President , Capital Markets…

    BMO Financial Group (New York, NY)
    …Trading and Sales personnel), colleagues within CMS, and Compliance , the VP will be responsible to review assigned surveillance reports, validate activity ... Supervision) protocol for monitoring controls around them. The VP is also accountable for helping to promote an...trade exception reports and trading activity to ensure compliance with appropriate rules and regulations. + Review electronic… more
    BMO Financial Group (04/15/25)
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  • Lead Data Analyst, Vice President

    MUFG (New York, NY)
    …for data & reporting needs for Party & Master data, AML, KYC, Sanctions, Trade Surveillance processes + Gather and write Data Product requirements through ... to manage the data product portfolio for Customer & Compliance domains. As a Lead Data Analyst, you will...understanding of banking products and data that feed into Compliance & Financial Crimes platforms supporting Customer & Master… more
    MUFG (05/21/25)
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  • Compliance Surveillance Officer…

    Citigroup (Jersey City, NJ)
    …Banking business, Sales & Trading, Trade and Order Life Cycle(s), and Compliance / Surveillance Controls is preferable. + Address Data Quality (DQ) issues from ... as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible...Global Surveillance platform encompasses a number of surveillance related portfolios including trade surveillance… more
    Citigroup (04/04/25)
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  • Sr. Business Controls Officer

    Bank of America (New York, NY)
    …Controls, at VP the level, to work alongside a global team of trade surveillance specialists, focused on the Equity and Equity Derivatives Trading line of ... relating to non-financial risk, including but not limited to compliance with regulatory rules and guidance as well as...position will require a good and demonstrable experience in trade surveillance alert investigation and dispositioning and… more
    Bank of America (02/25/25)
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