- Citigroup (Getzville, NY)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Personal Trading & Outside Activities team responsible for assisting ... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice… more
- BP Americas, Inc. (New York, NY)
- …energy company! The Compliance Manager is a key member of the Ethics & Compliance ("E&C") team supporting Trading & Shipping's ("T&S") Gas & Power Trading ... Compliance Manager and is primarily responsible for performing surveillance of business activities, influencing culture, delivering training and providing… more
- Bloomberg (New York, NY)
- SEF Compliance Surveillance Lead and Advisory ...The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; ... + A minimum of 7 years' derivatives, swaps and/or commodities products compliance + Experience conducting trade surveillance , real-time market monitoring and… more
- Truist (New York, NY)
- …to review alerts and investigate potential compliance issues. 2. Performs surveillance of trading activities to identify potential instances of market ... job description:** An independent team within CIB - Sales, Trading and Research that supports the Surveillance ...Surveillance program within CIB. The team performs trade surveillance activities, working with traders, compliance , and… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and ... related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and ... related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and… more
- Mizuho Corporate Bank (New York, NY)
- …The individual will be joining the Compliance Surveillance team. The surveillance team is responsible for monitoring trading in all asset classes, to ... (CAT), and FINRA TRAQS (ORF & TRACE) Knowledge of best practices, and surveillance procedures of securities industry compliance reviews Strong organizational and… more
- Bank of America (Charlotte, NC)
- …of the Compliance Surveillance Specialist include execution of trade- surveillance alerts, identifying and escalating potential insider trading and ... The role will be aligned almost exclusively to GWIM insider- trading surveillance in the short term, but...the medium and long term. The Compliance Surveillance Specialist has intermediate knowledge of insider- trading … more
- Citigroup (Getzville, NY)
- Serves as a compliance risk analyst for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and ... related portfolios including trade surveillance , e-communications and voice surveillance , employee trading , outside activities surveillance , and… more
- Morgan Stanley (Baltimore, MD)
- …perspectives and needs is an important part of our culture. As a Compliance Professional in Institutional Securities Trade Surveillance , the candidate will ... global Compliance monitoring teams, Technology teams, and the Global Surveillance Product Leads/Product Owners to execute the strategic objectives of the program… more
- Morgan Stanley (New York, NY)
- …Investment Management is seeking an Associate to join its US Portfolio Surveillance /Investment Compliance team within the COO office. The successful candidate ... the global team to support the global investment and trading process. *Qualifications - External* * 3 - 5...- External* * 3 - 5 years relevant portfolio surveillance /investment compliance and client servicing needs *… more
- Mizuho Corporate Bank (New York, NY)
- …governing the securities and banking industries, as well as internal firm policy. The Compliance Surveillance team works closely with the other teams within ... Compliance , Legal and Information technology. Team members have the...and conduct training. Essential Duties and Responsibilities: + Utilize surveillance systems to review communications for content, appropriateness, regulatory… more
- Bank of America (Charlotte, NC)
- …+ Underwriting **Minimum Education Requirement:** Null Job Description: The Sr Trade Surveillance lead, in collaboration with Risk and Compliance officers, ... expert in his or her area of expertise for Compliance and Operational Risk. The Sr Trade Surveillance...Options. * Front office or middle office experience, or trading related experience * Experience using surveillance … more
- Bank of America (New York, NY)
- …and design of the scripts used to review the alerts. The Trade Surveillance analyst collaborates with Compliance and Operational Risk on the identification ... managers as needed. This role works closely with Risk, Compliance , and SMEs to conduct trade Surveillance ....Options. * Front office or middle office experience, or trading related experience * Experience using surveillance … more
- JPMorgan Chase (Plano, TX)
- …teams, contractors, and vendors + Leads the design and development of trade surveillance software solutions that monitor and analyze trading activities for signs ... for trade surveillance products, ensuring alignment with business goals and compliance standards + Ensures rigorous quality control and compliance with both… more
- Morgan Stanley (Baltimore, MD)
- …Crimes including Anti-Money Laundering (AML) and sanctions screening models, and Surveillance including Cyber models and Compliance monitoring models. ... Model Risk Management - VP, Enterprise Fraud, Financial Crimes and Surveillance Model Validation and Validation Execution Morgan Stanley Morgan Stanley is a leading… more
- Bank of America (New York, NY)
- …Identify improvements in venue and product coverage by comparing transactional data from trading systems to surveillance alert generation. + Serve as technical ... Compliance & Op Risk Manager - EQ/Futures New...surveillance matters. + Participate with the front-office in trading venue onboarding in order to ensure that … more
- Wells Fargo (Charlotte, NC)
- …state, agency, legal, and regulatory and/or Corporate Policy requirements. The Senior Compliance Specialist will join the Surveillance team within the Global ... **About this role:** Wells Fargo is seeking a Senior Compliance Specialist to help establish, implement, and maintain risk standards and programs to drive … more
- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...matter expertise in equities and fixed income securities and trading practices, as well as related rules & regulations;… more
- Morgan Stanley (New York, NY)
- …and Asia. Primary Responsibilities Planning, preparing, and executing regulatory and compliance -based reviews for Sales & Trading , Commodities, Futures, Prime ... Profile Professionals within the Non-Financial Risk (NFR) Department of the Legal and Compliance Division provide a wide range of services to our business units.… more