- TD Bank (New York, NY)
- …compliance with departmental review procedures. The incumbent will collaborate closely with Trade Surveillance and Communications Surveillance Team leads, ... specialized function responsible for evaluating the effectiveness of the firm's surveillance framework across trade and communications monitoring. The incumbent… more
- Capital One (New York, NY)
- …Capital One's Compliance organization you will manage Capital One's Electronic Communications Surveillance Program and Trade Surveillance for Capital One's ... Director , Head of Surveillance As the...for independent judgment and decision-making. **Responsibilities:** + Oversight of trade surveillance for Swap Dealer (interest rate,… more