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$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$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- ...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
$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$85k - $140k
...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...SurveillanceRiskFull timeTemporary workPart time$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$170 per hour
...SEC‑regulated Alternative Trading System (ATS). The company is... ...seeking a Director of Trading & Risk to lead all aspects of... ...market risk management, and regulatory compliance across Securitize Markets.... ...trading, ATS operations, trade surveillance, and best execution....SurveillanceRiskContract workRemote 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.... ...backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound...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...SurveillanceRiskFull timeWork at officeLocal areaWork from homeFlexible hours- ..., detects and mitigates compliance, regulatory and reputational risk across the firm and helps... ...accounting, sales, and trading. We look for those who possess... ..., Controllers, Corporate Planning & Management, Corporate... ...and inquiriesPerforming surveillance and investigations of...SurveillanceRiskWork experience placementWork at office
$125k - $175k
...executing around 50 million trades and clearing 205... ...is recruiting for a Surveillance Compliance officer to join the... ...navigate a wide range of regulatory requirements to... ...minimize non-compliance risks. Compliance efforts are... ..., business function, corporate level, and experience...SurveillanceRiskWork at officeImmediate start$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
$150k - $300k
GLOBAL BANKING & MARKETS — Systematic Credit Trading StratsOur TeamOur core value is building... ...institutional clients, which include corporations, financial service providers, and fund... ...around the world, raise funding, and manage risk. This is a dynamic, entrepreneurial team...RiskFull timeTemporary workPart time- Compliance, GBM Public Compliance - Digital Assets, Vice President... ...mitigates compliance, regulatory and reputational risk across the firm and helps... ..., accounting, sales, and trading. We look for those who... ...blockchain analytics and surveillance tools, with a strong understanding...SurveillanceRiskFull timeTemporary workWork at office
$145k
...challenge on business and compliance matters to... ...with Barclays legal, regulatory and ethical... ...assessment of compliance risks through thorough... ...schedules meet corporate requirements..... ...Oversight Compliance - VP, where you’ll provide... ..., including trading, structuring, and...RiskHourly payFull timeTemporary work$175k - $200k
...to hire a new a strong Risk Manager to join a... ...quantitative and discretionarly trading strategies & risk... ...& distribute Risk and Regulatory reports including... ...Investor Relations & Compliance as needed to enhance the... ...risk workflows, enhance surveillance, & improve reporting Introduce...SurveillanceRisk$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$100k - $130k
...Hours: 40 Line of Business: Compliance Pay Detail: $100,000 - $130... ...to join the Equities Trade Surveillance team. Preferred 3-5 years of... ...by identifying and managing risks, and escalating non‑standard... ...procedures and applicable regulatory guidelines. Keep abreast of...SurveillanceRiskWork experience placementWork at officeLocal areaFlexible hours$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- ...bank's profitability from the transaction Risk analysis Preparation and presentation... ..., financial statements, cashflows and corporate finance valuation Strong credit analysis... ...wellness, student loans and commuters. #J-18808-Ljbffr SGS Société Générale de Surveillance SASurveillanceRisk
$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$145k - $175k
...Career with Point72's Compliance TeamThe Point72 Compliance... ...global investment and trading activities by... ...conducting pre- and post-trade surveillance. Our team is essential... ...with legal, risk, operations, finance,... ...compliance projects driven by regulatory change or internal...SurveillanceRiskWork experience placement$125k - $222.5k
...Private Bank Americas – Senior Compliance Officer Corporate Title Vice President... ...and proposed industry and regulatory developments. The role will... ...partnering with Business Risk to support regulatory change... ...reviews, and ongoing surveillance of business activities, identifying...SurveillanceRiskFull timeWork at officeWork from home$150k - $200k
Senior ownership of private market credit risk portfoliosHigh exposure to private... ...Monitoring & Risk ManagementPerform ongoing surveillance of approved counterparties, including NAV... ...and concentration risk.Monitor covenant compliance, reporting obligations and key risk...SurveillanceRisk- Chicago Trading Company (CTC) is seeking a Compliance Officer to support global compliance operations, focusing on surveillance for securities and futures with a strong emphasis on risk assessment and process improvement. The role reports to the Chief Compliance Officer...SurveillanceRisk
$129.84k - $194.76k
...suite of innovative and tailored cash management and trade and working capital solutions to multinational corporations, financial institutions and public sector... ...supporting and providing advisory to Sales, Banking and Risk on client engagements for structured Trade Loan...RiskFull time
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