VP, Regulatory & Corporate Compliance — Risk & Trade Surveillance
Intesa Sanpaolo Group
Intesa Sanpaolo Group in New York seeks a Regulatory and Corporate Compliance Officer VicePresident to lead RCC activities, including monitoring the Watch/Restricted List, reviewing transactions and employee trading for conflicts, and ensuring policy adherence. You will report to the Local Head of Regulatory and Corporate Compliance within the NY Branch Compliance function. You will coordinate with HO Compliance, manage training completion, and provide regulatory advisory support on a range of #J-18808-Ljbffr Intesa Sanpaolo Group
$140k - $180k
...TD Securities US Compliance team is looking for... ...to join the trade surveillance team, specializing... ...Futures products.The VP Compliance role... ...and expertise on regulatory requirements and... ...their regulatory risk.Key AccountabilitiesShareholderConsistently... ...and services to corporate, government, and...SurveillanceRiskFull timeLocal areaWork from homeFlexible hours$140k - $180k
## VP Compliance - Trade Surveillance, Fixed IncomeApplyremote type: On Sitelocations:... ...guidance and expertise on regulatory requirements and assisting... ...to manage their regulatory risk.**Key Accountabilities**Shareholder... ...products and services to corporate, government, and...SurveillanceRiskWork experience placementLocal areaWork from homeFlexible hours$120k - $190k
...investment bank in Midtown Manhattan is seeking a VP - Trade Surveillance to manage compliance and risk in trading activities. The role involves responsibility... ...levels while adhering to internal policies and regulatory guidelines. Candidates should have experience in the...SurveillanceRisk$150k - $250k
...employees serve clients worldwide including corporations, governments, and individuals from more... ...our culture.The Corporate Derivatives Trading desk within the Institutional Equity... ...for structuring, pricing, trading, and risk-managing a broad range of derivative solutions...RiskTemporary workWorldwide$130k - $160k
...will report to the Local Head of Regulatory and Corporate Compliance within the New York Branch... ...bank transactions and employee trading data for conflicts of interest... ...communications and employee trade surveillance, identifying conflicts or risks Monitor compliance training...SurveillanceRiskLocal area$120k - $190k
...Manhattan looking to bring on board a “VP - Trade Surveillance VP (FICC, Equities, FX/Commodities)”... ...interests by identifying and managing risks; escalate high-risk activities when appropriate... ...policies, procedures, and applicable regulatory guidelines. Stay updated on emerging...SurveillanceRiskFull timeWork at office2 days per week$160k - $250k
...serve as the Deputy Chief Compliance Officer for New York... ...including compliance risk assessments, policy... ...strategic agenda for regulatory risk mitigation.This role... ...York Life.Who We Are:The Corporate Compliance Department... ...technology, surveillance analytics, data and AI...SurveillanceRiskLocal areaHome office3 days per week$150k - $180k
...Preferred Qualifications:The Compliance Transformation team... ...its most critical regulatory, remediation,... ...are clearly defined, risks are actively managed,... ...expectations, controls, surveillance, monitoring, governance... ...products and services to corporate, government, and...SurveillanceRiskFull timeLocal areaWork from homeFlexible hours$215k - $225k
...seamless investing and trading experiences to... ...-grade execution and regulatory compliance in everything we do.... ...motivated and seasoned VP, FCM, Tokenization &... ...detailed reports and surveillance investigations prepared... ...business management, risk, and technology to ensure...SurveillanceRiskFull timeContract workWork at officeRemote workWorldwide$140k - $190k
...Line of Business Compliance Pay Detail $1... ...This VP, Compliance is... ...expertise on regulatory requirements and... ...their regulatory risk. Key Responsibilities... ...including trading behaviors,... ...communications surveillance a plus. Firm... ...and services to corporate, government, and...SurveillanceRiskWork experience placementWork at officeLocal areaWork from homeFlexible hours- ...Qualifications: The Compliance Transformation team is... ...against its most critical regulatory, remediation,... ...are clearly defined, risks are actively managed,... ...expectations, controls, surveillance, monitoring, governance... ...and services to corporate, government, and institutional...SurveillanceRiskWork experience placementLocal areaWork from homeFlexible hours
- ...Vice President in New York to join CF&O Compliance, focusing on Corporate Treasury coverage with an emphasis on regulatory and conduct risk in the Americas. You will provide real-time... ...to the Corporate Treasury division and trading-specific guidance to the Corporate...Risk
- ...strategy and execution of all safety surveillance, risk management, and regulatory compliance activities across the product... ...committee, and ensuring alignment with corporate priorities and clinical... ...end-to-end safety operations. The VP will also lead the development and...SurveillanceRisk
- ...prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen... ...as law, accounting, sales, and trading. We look for those who possess... ...experience, administers an array of surveillances, due diligence, investigative...SurveillanceRisk
$145k - $195k
...DescriptionThe Ares Legal and Compliance Department oversees... ...Ares’ global Legal, Regulatory and Compliance... ...from employee personal trading, private investments,... ...legal, or regulatory risks and recommending mitigation... ...Management and Trade Surveillance ComplianceEducationBachelor...SurveillanceRiskFull timeTemporary workWork experience placementFlexible hours$125k - $175k
...Marex is recruiting a Surveillance Compliance Officer to join the... ...The role focuses on Trade Surveillance (Trade Activity... ...NFA, CFTC and other regulatory requirements.... ...Adhere to the operational risk framework and company... ..., business function, corporate level, and experience...SurveillanceRiskWork at office- ...Vice President, Corporate Banking Portfolio Monitoring & Risk Analytics About the Company... ...conducting ongoing portfolio surveillance, developing and... ...strategies. Candidates for this VP position should have a... ...developments, ensuring portfolio compliance with risk policies, and...SurveillanceRisk
- Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance.... ...backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound...RiskWork experience placement
$140k - $205k
...Line Financial Crimes Risk (FCR) team is... ...Technology and Legal & Compliance. Role Summary The Vice... ...compliance process - pre-trade/post-trade surveillance, control-room distribution, voluntary corporate actions, and monthly... ...‑line procedures; regulatory remediation and...SurveillanceRiskTemporary workWorldwide$180k - $230k
...minded Head of Compliance to lead... ...of growth. The VP of Compliance... ...escalate material risks and embed compliance... ..., balancing regulatory obligations... ...activities, personal trading, attestations,... ...e-commerce surveillance for an... ..., product and corporate materials.Establish...SurveillanceRiskFull time$150k - $300k
...inflation products, structured notes, and risk management solutions.At Goldman Sachs,... ...quantitative research and the systemization of key trading processes. We have a broad remit that... ...with our clients, which include corporations, financial institutions, and fund managers...RiskFull timeTemporary workPart timeWork at office$129.84k - $194.76k
...ServicesCompany: CitiThe Vice President (VP), Corporate Trade Sales - Industrial... ...capital optimization, and risk mitigation.In this role,... ...capital allocation.Compliance & Due Diligence: Partner with... ...client programs meet rigorous regulatory and internal standards.4. Implementation...RiskFull timeShift work- ...Global Compliance Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm's culture of compliance... ..., such as law, accounting, sales, and trading. We look for those who possess sound judgment...RiskWork experience placement
$175.5k - $215k
...reusable solutions across the Compliance, Surveillance and Supervision area.... ...services industry, specifically in trade surveillance and/or global... ...projects of moderate to high risk and complexity. Build... ...markets products and services to corporate, government, and institutional...SurveillanceRiskWork at officeLocal areaWork from homeFlexible hours$104k - $177k
...Senior Vice President, Consumer Compliance Officer - Global Payments & Trade. to join our Risk & Compliance team. This role... ...exhibit an aptitude for assessing regulatory consent orders, enforcement... ...such as NBFIs, FinTech's, Corporates, MSBs, Broker Dealers, and Life...RiskTemporary workWorldwideFlexible hours$130k - $234k
A global management consulting firm is seeking a Principal/Sr. Consultant in Risk & Compliance for their Trade Surveillance team. The role involves collaborating with various teams to shape trade surveillance strategies, analyzing data, and leading compliance initiatives...SurveillanceRiskFull time$160k - $228.5k
Location Designation: Hybrid - 3 days per week Corporate Vice President, Head of Third Party Risk ManagementRole Overview:New York Life seeks an experienced... ...role requires a strategic mindset, expertise in regulatory compliance, risk governance, and operational resilience,...RiskLocal area3 days per week- Morgan Stanley’s Corporate Derivatives Trading desk within the Institutional Equity Division is seeking a Senior Associate or Vice President to structure, price, and risk-manage derivative solutions for corporate and wealth management clients. The role covers vanilla equity...Risk
$87.5k - $125k
Trading Desk Associate Regulatory Analyst Join our client's dynamic team supporting... ...equity trading and regulatory compliance as a Trading Desk... ...Conduct thorough daily surveillance and data quality reviews... ...related to market manipulation risks, insider dealing, and abnormal...SurveillanceRiskPermanent employmentFull timeWork at office$100k - $135k
...Job Description:**The TDS US Compliance team is looking for an... ...level candidate to join the FX Trade Surveillance team. Preferred 3-5 years... ...organization - identify and manage risks, and escalate non-standard,... .../procedures and applicable regulatory guidelines • Keep abreast...SurveillanceRiskTemporary workWork experience placementWork at office
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