• Trade Surveillance Manager…

    Capital One (New York, NY)
    Trade Surveillance Manager ( Broker -Dealer & Swap Dealer) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to ... enhancement of surveillance procedures, scenarios, and parameter settings within the trade surveillance platform. + Ensure the surveillance program… more
    Capital One (12/07/25)
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  • Broker Dealer Regulatory Governance…

    SMBC (New York, NY)
    …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function… more
    SMBC (10/09/25)
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  • Director, Compliance - Regulatory Initiatives, TD…

    TD Bank (New York, NY)
    …behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding ... regulatory areas impacting products, behaviors and market participants. + Knowledge of trade and communications surveillance tools and vendors for detecting… more
    TD Bank (12/07/25)
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  • Central Supervision Analyst

    TD Bank (Marlton, NJ)
    …Management Services Inc. (TDWMSI). The Central Supervision Analyst performs essential trade surveillance and electronic communications monitoring functions. This ... flagged trades, trends and patterns identified by the FIS Supervision Compliance Manager (FIS CM) automated surveillance system and escalates matters to… more
    TD Bank (12/10/25)
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  • VP, Compliance - Regulatory Initiatives - Policies…

    TD Bank (New York, NY)
    …behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding ... regulatory areas impacting products, behaviors and market participants. + Knowledge of trade and communications surveillance tools and vendors for detecting… more
    TD Bank (10/12/25)
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  • Vice President, Compliance Monitoring Program - TD…

    TD Bank (New York, NY)
    …behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding ... regulatory areas impacting products, behaviors and market participants. + Knowledge of trade and communications surveillance tools and vendors for detecting… more
    TD Bank (10/12/25)
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