- JPMorgan Chase (Jersey City, NJ)
- …**Required qualifications, capabilities, and skills** + Bachelor's Degree + 3+ years of Trade Surveillance or other compliance , regulatory, or related ... status quo, and striving to be best-in-class. As a Surveillance Lead Vice President within the North...President within the North America and Latin America Swaps Trade Surveillance team, you will play a… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a ** Lead Compliance Officer** in Corporate Risk as part ** Trade Surveillance Oversight** Team. This role will ... will:** + Provide oversight, monitoring and effective challenge of the front-line surveillance program in line with federal, state, agency, legal, regulatory and… more
- TD Bank (New York, NY)
- …regulatory compliance by developing and maintaining a comprehensive Trade Surveillance program, including identifying emerging risks, regulatory developments ... lead and key stakeholders to: maintain TDS' compliance surveillance framework; manage large surveillance...This position will focus on the trade surveillance portfolio and related initiatives. The VP Compliance… more
- TD Bank (New York, NY)
- …is looking for an Associate candidate (Senior Compliance Officer) to join the new Trade Surveillance team. Preferred 3-5 years of experience in trade ... of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and...in the discussion * Gain an understanding of new trade surveillance modules and surveillance … more
- Bank of America (Charlotte, NC)
- Compliance & Operational Risk Specialist - Trade Surveillance Charlotte, North Carolina, United States **To proceed with your application, you must be at ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Charlotte/ Compliance Operational-Risk-Specialist Trade - Surveillance \_25040545-2) **Job Description:**… more
- TD Bank (New York, NY)
- …mechanisms for senior management. + Stakeholder Engagement: Serve as primary contact to Trade Surveillance teams, CDO, Compliance Technology, and Front ... Compliance team is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This...will have deep expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at… more
- Capital One (New York, NY)
- …Manager (Broker-Dealer & Swap Dealer) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and enhance the firm's ... **Preferred Qualifications** + Advanced degree + 6+ years of trade surveillance , market regulation, or 6+ years compliance experience within a Broker-Dealer… more
- SMBC (Jersey City, NJ)
- … Department is seeking a highly skilled Executive Director, Head of Communications Surveillance to lead and enhance its communications surveillance framework ... regulatory changes and business needs, ensuring a robust and effective communications surveillance program. **Role Objectives** + Lead and manage the… more
- Citigroup (New York, NY)
- …Non-Financial Risk group and more specifically within Conduct Risk. Predominantly operating trade surveillance within the Spread Products business, but there ... enable growth and economic progress. **Team/Role Overview** This SP Trade Monitoring role sits in the First Line of...+ 5-10 years' experience in credit related middle office, surveillance , risk management and/or regulatory compliance in… more
- TD Bank (New York, NY)
- …This role requires experience within the financial services industry, specifically in compliance , trade surveillance and/or capital markets domains including ... languages, databases, and development frameworks. . Knowledge of financial industry trade surveillance , market abuse monitoring and/or global markets domain… more