Senior Trade Surveillance & Compliance Lead
TD
TD Securities in New York is seeking an Associate-level professional to join the Trade Surveillance team focused on Communications. You will monitor communications, assess risk, and coordinate with Compliance and business partners to ensure regulatory adherence. The role requires 5–7 years of related experience in surveillance and a Bachelor’s degree, with a strong emphasis on risk assessment, reporting, and cross-functional collaboration. #J-18808-Ljbffr TD
Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the Senior Trade Surveillance & Compliance Lead in New York, NY vacancy
$50 - $55 per hour
...Position Overview: Our client, a leading proprietary trading and options market-making firm, is seeking an experienced Lead Compliance Analyst to support its regulatory compliance... ...policies and procedures, oversee surveillance initiatives, manage regulatory requirements...SurveillanceLong term contractContract workWork from homePhaxis
New York, NY4 hours ago- ...Sanpaolo in New York is seeking a Regulatory and Corporate Compliance Officer to lead RCC activities within the Local Branch Compliance... ...You will collaborate with HO Compliance, manage employee trading surveillance, and ensure training completion while maintaining strict...SurveillanceLocal area
- Christian Dior Couture in the United States seeks a Senior Manager, Trade Compliance to lead the trade compliance function across the US and Canada. This role owns customs entry accuracy, government filings, and duty recovery, coordinating with brokers and carriers. The...Senior
- Columbus Technologies and Services is seeking a Trade Compliance Officer to lead export control efforts within our AV organization. You will implement licensing, classification, and training programs to ensure compliance with US laws. The role requires extensive interaction...Senior
- GlobalFoundries in Malta, NY is seeking a Lead Global Trade Compliance Specialist to lead export and import operations, risk management, and policy developments as a SME on customs, export controls, sanctions, and supply chain. This role partners across functions to support...SeniorRemote work
$120k - $145k
...DescriptionThe TD Securities US Compliance team is looking for an... ...level candidate to join the Trade Surveillance team focused on Communications... ...*General Job DescriptionThe Senior Compliance Office provides advice... ...expertise or may lead a small team of specialistsConsidered...SurveillanceSeniorFull timeTemporary workWork at officeLocal areaWork from homeFlexible hoursTD Bank
New York, NY3 days ago- ABB in the United States is seeking a Senior Leader, U.S. Trade Compliance Program to support the Country Trade Compliance Officer in building and guiding the U.S. Trade Compliance Program. You will help drive strategy and governance across the CTCO and LTCO network, enabling...SeniorRemote job
$119k - $190.4k
...here makes that happen. You’ll be empowered to lead, supported to grow, and proud of the impact we... ...runs the world. This position reports to Country Trade Compliance Manager (CTCM) Your Role And Responsibilities The Senior Leader, U.S. Trade Compliance Program will be...SeniorHourly payTemporary workWork at officeLocal areaRemote workMonday to Friday- KPMG LLP's Trade and Customs practice seeks a Manager or Senior Manager, FTZ, to advise clients on FTZ implementation, operations and compliance. You will lead engagements, mentor staff, and ensure accurate regulatory adherence in complex matters. Role requires five+ years...Senior
- The Trade Desk is a global technology company and the world’s leading independent platform for digital advertising. This role leads a portfolio of accounts, coaching Traders and developing talent while driving revenue growth across major client relationships. The position...Senior
$250k - $340k
...individuals to express views on real-world events by trading on outcomes across politics, economics, sports,... ...it from a distance.You'll sit inside a small, senior legal team and work closely with Compliance, Surveillance, and product. The mandate is clear: keep the FCM...SurveillanceContract workPrivate practicePolymarket
New York, NY5 days ago- Mondrian Alpha in New York seeks a Compliance Officer to lead the compliance program for its equities trading desk. You will design, implement and oversee trade surveillance, regulatory controls and monitoring in a high-performance, autonomous environment. The ideal candidate...SurveillanceSenior
- ...tomorrow by providing cutting-edge trade surveillance technology that protects... ..., and ensures regulatory compliance across traditional financial... ...Solidus Labs is seeking a Senior Account Executive to sell our... ...positioning Solidus Labs as the leading provider of compliance...SurveillanceSeniorWorldwide
Solidus Labs
New York, NY5 days ago $150k - $250k
...Ratings Analyst - Director/ Senior Director (NY)... ...for initial ratings and surveillance of corporate-level unsecured... ...financing strategies.Lead rating committee... ...and monitor covenant compliance. Maintain peer group comparisons... ...companies, and non-traded REITs.Strong verbal...SurveillanceSeniorFull timeTemporary workLocal areaFlexible hoursKBRA
New York, NY2 days ago- TD Bank Group in New York is seeking a senior Compliance professional to lead trade surveillance activities and support regulatory requests within Global Surveillance. You will analyze alerts, assess potential violations and coordinate responses with regulators and internal...Surveillance
- ...Job Description Job Description Our client is seeking a detail-oriented Surveillance Associate to conduct daily trade surveillance reviews for an active trading client base. The role focuses on identifying and investigating potential market manipulation and abusive...SurveillanceSenior
Phaxis LLC
New York, NY3 days ago $200k - $250k
...access, and institutional trading. Headquartered in New... ...seeking an experienced compliance professional to serve as a Director, Senior Compliance Officer and... ...compliance issues. Conduct surveillance and monitoring of... ...Assist the CCO with leading and/or supporting regulatory...SurveillanceSeniorWork at officeCHARDAN CAPITAL MARKETS LLC
New York, NY2 days ago$211.28k - $316.92k
...6,920.00Category: LegalCompany: CitiThe Senior Lead Counsel is a position responsible for serving... ...loans, consumer loans, credit cards and trade receivables, preferably with global... ...stakeholders and functional partners (e.g., Risk, Compliance) by participating in planning and...SeniorFull timeCitigroup
New York, NY2 days ago$120k - $175k
Senior Compliance Associate, Registered Funds (New York, NY): Our client, a leading diversified asset management firm with over $50B in AUM, is seeking a high-caliber... ...reporting. Conduct ongoing portfolio and trade surveillance to ensure adherence to regulatory requirements...SurveillanceSenior- Millennium Management LLC in New York City seeks a Risk Controls Manager to lead regional oversight of external manager risk controls and partner with trading teams to implement effective control frameworks. You will drive onboarding, pre-trade and post-trade risk management...Senior
- WITHIN is seeking a hands‑on Senior Programmatic Strategist to lead day‑to‑day programmatic and digital commerce work for a specific client. You will own executions in The Trade Desk and other DSPs, monitor performance, and translate data into actionable insights for the...Senior
- The Goldman Sachs Group, Inc. is seeking a Global Banking & Markets-Public Compliance officer to prevent, detect and mitigate regulatory and reputational risk. The role covers sales and trading, working with Legal, Risk, Ops, Tech and Internal Audit to uphold conduct standards...Senior
- A financial services firm is seeking a Senior Operations Associate in New York, NY, to support trade lifecycle management and operational processes. The role involves working with portfolios across credit, loans, and fixed income. Ideal candidates will possess 5-8 years...Senior
- ...receive an alert: Title: FICC Compliance Officer, Senior Manager Requisition ID: 276... ...and Markets (GBM) is a leading Canadian Capital Markets and... ...this key global market for trade and investment flows across... ...the review of monitoring and surveillance routines and respond to...SurveillanceSeniorWork experience placement
- Moody's Investors Service is seeking a senior RMBS Surveillance Analyst to lead the surveillance and credit analysis of U.S. RMBS transactions. You will analyze credit and legal risks, prepare rating recommendations, and present findings to rating committees. The role...SurveillanceSenior
- Saab is seeking a Principal Program Manager to lead profitable execution of surveillance programs from its East Syracuse, NY office. You will oversee multi... ...role requires extensive program management experience, senior stakeholder engagement, and ability to travel 10-15%...SurveillanceSeniorWork at office
$155k - $285k
Senior Quantitative Analyst - Interest Rate Modeling & Risk Analytics... ...support Bloomberg’s industry leading fixed income indices,... ...services, portfolio management and trading platforms, as well as the... ...create high impact valuation, surveillance and risk management tools for...SurveillanceSeniorTemporary workFor contractorsWork experience placementBloomberg
New York, NY2 days ago- The Principal Analyst for Financial Disclosure & Trading in the Ethics and Compliance Office (ECO) is responsible for performing activities intended... ....Evaluates trading violations identified through surveillance sweeps and self-reports, calculates required disgorgements...SurveillanceFull timeTemporary workFor contractorsFor subcontractorWork at officeLocal areaImmediate start
Financial Industry Regulatory Authority
New York, NY3 days ago - Compliance Associate (New York, NY): Our client, the asset... ...such as wall crosses, trade requests, conflict... ...compliance testing and surveillance program, as well as prepare... ...Reference #2979397 Seniority level Seniority level... ...Specialist - Leading Global Hedge Fund - $2...SurveillanceSeniorFull time
$120k - $160k
...possible. The US Export Controls Lead will be responsible for... ...the Pall Corporation’s Export Compliance program globally. This role will... ...Corporation’s Director, Global Trade Compliance and is part of the... ...is preferred with 8+ years of senior functional / professional experience...Permanent employmentFull timeWork at officeRemote workWork from homeWork visaFlexible hoursDanaher Corporation
New York, NY1 day ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Trade Surveillance & Compliance Lead. Be the first to apply!
Related searches
- senior content manager New York, NY
- senior devops engineer remote New York, NY
- senior IT project manager New York, NY
- senior implementation engineer New York, NY
- senior marketer New York, NY
- senior writer New York, NY
- senior partner marketing manager New York, NY
- senior gl accountant New York, NY
- senior electronic technician New York, NY
- sr product owner New York, NY