Are you a business? Hire trade surveillance candidates in New York, NY
this is a C2C position. please send your resume Hybrid in New York, NY- Contract Clients: KPMG Qualification: 4-6 Years of experience with Data Visualization Program/Project Management Trade operations, lifecycle, & Surveillance Strong project / program managementskills Knowledge of capital markets and trade life cycle Strong data visualization, reporting dashboard development skills Knowledge of trade surveillance risk assessments
Bank of America believes both in the importance of working together and offering flexibility to our employees. Receipt of this document does not automatically entitle you to benefits offered by Bank of America. Bank of America and its affiliates consider for employment and hire qualified candidat...
Audit Supervisor (Global Markets Trade Surveillance/Market Conduct). Audit Supervisor (Global Markets Trade Surveillance/Market Conduct).
At least 8+ years' experience in Compliance, Compliance Audit, Regulatory body, or related consulting experience. Seeking a detail-oriented Senior Audit Manager who is seasoned Compliance Auditor with significant experience in Trade Surveillance audits, focused on market abuse detection and preve...
Work closely with backend developers, data scientists, and business analysts to integrate front-end components with backend services. Develop, implement, and maintain front-end applications using React for trade surveillance systems. React and front-end technologies.
A global, alternative asset manager is seeking a Trade Surveillance Officer to join their compliance team in NYC for a hybrid role leading their trade monitoring and market surveillance. This opportunity will report to senior leadership on the compliance team and will work directly with the trade...
Vice President, FX & Fixed Income Trade Surveillance Compliance. The Company is seeking a Vice President for FX and Fixed Income Trade Surveillance Compliance. The successful candidate will be responsible for day-to-day surveillance assignments, including the review and follow-up on a variety of ...
Aim here is to make sure they are identifying and remediating trading platforms where trade data may not be coming downstream into the data lake for surveillance. Knowledge of capital markets and trade life cycle. Knowledge of trade surveillance risk assessments.
Executes audit strategy for the sound application of risk-based auditing by defining audit scope and audit programs, and leverages automation and innovative methods in a timely and high quality manner. Provides input on draft audit reports and shares audit results with business leaders. Audit Sup...
Lead a team of compliance professionals responsible for overseeing, reviewing and enhancing the surveillance program for market abuse and electronic communications for their respective regional lines of TD Securities (TDS), TD Cowen and TBSM. The Head of Compliance, Trade Surveillance and Communi...
The Trade Surveillance analyst is primarily accountable for conducting "Market Conduct Trade Surveillance” which begins with computerized analyses of activities that trigger “alerts” requiring additional review to determine whether the activity was a violation of a law, rule, regulation, policy o...
Independently execute audit test work on assigned audits in a timely manner and with high quality. This role will use expertise gained auditing Global Markets or closely related areas (i. GM specific compliance) to execute audit work with a focus on supervision and trade surveillance.
Engages in activities to provide independent compliance and operational risk oversight of FLU or Control Function (CF) performance and any related third party/vendor relationships in alignment with the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy (col...
Financial Services Software sales to Buy & Sell Side, with average deal sizes $100k+. Regulatory or Compliance Software Sales. Skills: Sales, Sales Hunter, Trade Surveillance, Market Surveillance, Communication Surveillance, Regtech, Fintech, Finra.
The Head of Compliance, Trade Surveillance and Communications, TDS (US) reports to the TDBG VP, Compliance Trade Surveillance. Lead a team of compliance professionals responsible for overseeing, reviewing and enhancing the surveillance program for the market abuse and electronic communications fo...
Role: Audit Supervisor - Global Markets Trade Surveillance/Market Conduct Hybrid (3 Days Onsite and 2 days work from home) Job Description: This job is responsible for independently performing test work during highly complex audit activities for Lines of Business (LOBs).
Broker dealer located in Midtown Manhattan looking to bring on board a “Head of Compliance, Trade Surveillance & Communications” to join their team. Create strategic focus and actively manage Communications and Trade Surveillance systems, policies, and procedures to produce a more effective prog
Assist with the updating of the Firm’s policies and procedures and related documentation to reflect any amendments made to the Trade surveillance program. Contribute to the implementation of a third-party trade surveillance platform. Review, research, and appropriately respond to alerts identifie...
The team is accountable for promoting regulatory compliance by developing and maintaining compliance programs, including identifying and disseminating regulatory developments to businesses they support, maintaining Compliance policies, managing complaints and regulatory filings, providing relevan...
At Buffalo Exchange, you’ll think on your feet and grow your skills while providing floor surveillance, preventing loss and helping to create a safe environment for customers to buy, sell, and trade. As Floor Security, no two days are the same, but most days will include the following responsibil...
The Sr Trade Surveillance lead, in collaboration with Risk and Compliance officers, ensures accountability primarily, for the timely completion of "Market Conduct Trade Surveillance” which begins with computerized analyses of activities that trigger “alerts” requiring additional review to determi...
Essential Duties and Responsibilities.Following is a summary of the essential functions for this job.Other duties may be performed, both major and minor, which are not mentioned below.Specific activities may change from time to time.Identifies risks within Sales, Trading & Research where surveill...
