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
$150k - $200k
...Overview The Global Compliance Department is... ...overseeing regulatory compliance... ...Department, the Global Surveillance Team is... ...communications and trading as it relates... ...experienced VP-level... ...models, predictive risk scoring for alerts... ...services to corporate, government, and...SurveillanceRiskWork experience placementWork at officeLocal areaWork from homeFlexible hours- ...firm in New York is seeking a Vice President in Compliance to enhance governance frameworks for electronic trading activities. The ideal candidate will possess... ...regulations. Responsibilities include overseeing regulatory risk assessments, collaborating with global teams,...Risk
$135k - $190k
## VP - Employee Compliance, Central Compliance Team CIBCandidatar... ...Personal Securities Trading ("PST"), Personal... ...compliance with applicable regulatory requirements and... ..., Human Resources, Risk, Internal Audit, Technology... ...working with surveillance and monitoring tools...SurveillanceRiskHourly payFull timeContract workWork experience placementShift work$160k - $228.5k
...serve as the Deputy Chief Compliance Officer for New York... ...including compliance risk assessments, policy... ...strategic agenda for regulatory risk mitigation. This... ...Who We Are: The Corporate Compliance Department... ...supervisory technology, surveillance analytics, data and AI...SurveillanceRiskLocal areaHome office3 days per week- ...Head of Compliance, Trade Surveillance and Communications About the Company Premier broker dealer... ...communications. This role involves assisting with regulatory inquiries, executing compliance... ...compliance meetings to discuss key risks and trends. The Head of Compliance...SurveillanceRisk
- ...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
- ...manages operational, regulatory, and reputational risks. In support of... ...to the Global AWM Trading Controls and Digital... ...identify and mitigate compliance and operational risks... ...management, and surveillance. * Utilize advanced... ...’s most prominent corporate, institutional and...SurveillanceRiskFull timeWork 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$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- ...Compliance, GBM Public - Electronic Trading Compliance, Vice President, New York New York, New York, United States Job Description Global Compliance... ...prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm...RiskFull timeWork experience placementWork at office
- ...Vice President, Senior Compliance Officer, Monitoring & Compliance... ...exposure to compliance, surveillance, and risk functions. Industry Financial... ...monitoring, testing, and regulatory compliance, particularly... ..., market structure, and trading behaviors. Familiarity with...SurveillanceRisk
- ...FINRA Supervision Specialist to oversee supervisory and trade review of Financial Advisors across various locations. This role supports compliance and risk management goals while promoting a culture of regulatory excellence. The ideal candidate will ensure adherence to...SurveillanceRisk
$200k - $290k
...to turn today’s risks into tomorrow’s opportunities... ...and surveillance Assess key credit... ...drivers, including regulatory frameworks, rate‑... ...Candidates for Moody's Corporation may be asked to... ...for Securities Trading and the... ...contingent upon compliance with the Policy,...SurveillanceRiskFull 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
- An established industry player is seeking a Trade Surveillance Analyst to enhance their compliance efforts. This role involves analyzing regulatory trends, designing surveillance patterns, and coordinating with Compliance and Front Office teams. You will be responsible...SurveillanceRisk
$185k - $220k
...Chain Finance transactions within the Corporate & Investment Bank, with focus on US... ...execute deals – Legal, Risk & Business Committees, Compliance, Operations. The role requires active... ...essential functions. Strong experience in trade finance, supply chain finance, working...RiskHourly payWork experience placementWork at officeShift 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$185k - $220k
...Capital Solutions - Origination VP page is loaded## Supply... ...execute deals - Legal, Risk & Business Committees, Compliance, Operations.* Structuring... ...develops close relationship with Corporate Banking team to align... ....* Strong experience in trade finance, supply chain finance...RiskHourly payContract workWork experience placementWork at officeShift work- ...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
$225k
...to Talk to You! Role Overview The VP, Corporate & Financial Sponsor Structuring will partner closely with Sales and Trading within Santanders U.S. Corporate Investment... ...partners across geographies, to align on pricing, risk, documentation, execution, and delivery...RiskHourly payContract workShift work$150k - $225k
...- AMRS Futures Electronic Trading (Sales Trader), New York... ...Support Trade Monitoring & Surveillance Market Microstructure Knowledge... ...Functional Coordination Regulatory Compliance & Control Frameworks... ...Quantitative, and Technology teams Risk Controls Experience:...SurveillanceRiskShift workDay shift$140k - $180k
...About Crédit Agricole Corporate and Investment Bank... ...and international trade. The Bank is a pioneer... ...Types of Jobs - Compliance / Financial Security... ...Job title Compliance Risk Assessment Officer - VP Contract type Permanent... ...framework, ensuring regulatory adherence while...RiskPermanent employmentContract workWork at officeWorldwide$145k
...Barclays as an International Corporate Banking Brokers Coverage, VP, where you will be... ...Merchants (FCMs), Proprietary Trading Firms / High Frequency... ...solutions across lending, risk management, and capital markets... ...'s industry trends, regulatory landscape, and...RiskHourly payTemporary work$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
...Product Business Oversight Compliance - VP, where you’ll provide... ...adherence to legal, regulatory, and firm-wide... ...activities, including trading, structuring, and origination... ...and mitigate risks. You’ll work closely... ...budgets and schedules meet corporate requirements....RiskHourly payTemporary work$110k - $230k
...reliable financial partner, whether in Corporate or Personal Banking or our Trade Services, Commodities, Financial... ...and other documentation to manage risk appropriately Monitor client's credit... ...to support client requirements Compliance and Risk Management Develop new products...RiskWork at office$185k - $220k
## Corporate & Investment Banking Receivables Financing VPApplylocations... ..., pricing, and execution of trade receivables monetization... ...internal approval process with the risk, middle office and other... ...stakeholders both internal (CDD, Compliance, Risks, Legal, IT, Compliance...RiskHourly payFull timeContract workWork experience placementWork at officeShift work- ...The team is seeking to hire a VP for its middle office team who will be hands-on within the corporate actions function, owning complex... ...with portfolio management, trading, operations, fund accounting,... ...escalation point for complex or high-risk events, ensuring accurate...RiskWork at office
$95k
...Analyst Internship - Corporate Functions,... ..., Telecom, Voice/Trading voice, Record Keeping... ...Governance, Risk and Controls. The... ...capacity to manage regulatory and client records... ...with oversight, compliance controls- including... ...Risk & PnL, and Surveillance; Global Banking...SurveillanceRiskPermanent employmentSummer workInternshipSummer internshipWork at officeLocal area$150k - $300k
GBM - Systematic Credit Trading Strats, VP - NY New York, New York, United States Job Description... ...institutional clients, which include corporations, financial service providers, and fund... ...the world, raise funding, and manage risk. This is a dynamic, entrepreneurial...RiskWork at office
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