Lead Information Barrier & Trade Surveillance
TD
TD Securities in New York is seeking a Vice President Compliance to lead surveillance and risk programs, including information barrier surveillance and regulatory risk management. You will partner with front office, Technology and Operations to ensure effective controls and timely escalation of issues. The role requires 5+ years in trade surveillance, strong knowledge of US markets, and a FINRA designation is preferred. The team emphasizes risk-based oversight and cross-functional collaboration. #J-18808-Ljbffr TD
Vacancy posted 3 days ago
Similar jobs that could be interesting for youBased on the Lead Information Barrier & Trade Surveillance in New York, NY vacancy
- TD Bank Group is seeking an Information Barrier Surveillance Lead Analyst in New York. The role oversees surveillance reviews, analyzes alerts, and prepares... ...improvements. The ideal candidate has 5+ years in trade surveillance with strong knowledge of information barriers...Surveillance
$150k - $180k
...managing correspondence, information and all matters of... ...colleagues in Global Surveillance and the wider Compliance... ...understanding of new trade surveillance modules and... ...to Information barrier breaches, Restricted and... ...Compliance TDS oversees/leads a team(s) of specialists...SurveillanceFull timeLocal areaWork from homeFlexible hours$125k - $175k
Rex Technologies GmbH is seeking a Surveillance Compliance Officer in New York to enhance their trade surveillance process across various asset classes. This role involves evaluating alerts, using surveillance tools, and ensuring compliance with SEC, FINRA, NFA, CFTC,...Surveillance- 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...Surveillance
$159.4k - $181.9k
A financial services company is seeking a highly skilled Trade Surveillance Manager to enhance its surveillance program across Broker-Dealer and Swap Dealer activities. This role involves leading daily operations and ensuring compliance with regulatory requirements, while...Surveillance- G MASS is seeking an Information Barriers Consultant in New York to manage a mature information barriers programme within a leading global financial services firm. This role offers substantial ownership of the programme, allowing you to engage across various teams and...Permanent employmentContract work
- G MASS Consulting seeks an Information Barriers Consultant to join the Legal & Compliance function of a leading global financial services firm. You will own day-to-day management of an established information barriers programme, operating independently from day one in...Permanent employment
$176.72k - $265.08k
...Decision Management, Professional, WealthCompany: CitiThe Data/Information Mgt Sr Lead is a strategic professional who stays abreast of... ...to manage portfolio risks for the Mortgage Servicing Rights trading desk within the Wealth business, using Python as a core language...Full timeWork experience placement- ...Talent Advisors in New York seeks a Compliance & Surveillance professional to monitor employee brokerage... ...feeds, and conduct surveillance related to trading. You will coordinate disclosures, watchlists, and information barriers while supporting audits and regulatory exams...Surveillance
- ...great opportunity for a true career contractor with a focus in Trade Surveillance and is happy about a Hybrid work schedule located in... ...according to firm policy and regulatory requirementsLiaise with Information Technology and Senior Management in the development, review...SurveillanceContract workFor contractors
- ...crossing for investment opportunities. You'll review sensitive information with trading teams and oversee the Restricted List, coordinating... ...the firm. The role requires 2+ years in due diligence or surveillance, a finance/economics degree, and a proactive, team-oriented...Surveillance
$145k - $175k
...Compliance department is an industry-leading team of compliance... ...support global investment and trading activities by establishing... ...conducting pre- and post-trade surveillance. Our team is essential to... ...long-term growth. For more information, visit .The annual base salary...SurveillanceWork experience placement- ...is seeking a Mission Systems Lead to join our rapidly scaling Defense... ...and leading mission systems trade studies to develop and... ...effective navigation, intelligence, surveillance, reconnaissance, and... ...and integration maturity, and inform mission suitability for air vehicle...SurveillanceFlexible hours
- ...Job Description The Trade Surveillance Analyst will be responsible for reviewing and analyzing a high volume of market surveillance alerts... ...more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy:...Surveillance
Insight Global
New York, NY3 days ago $215k - $290k
CRO - Information Security & Risk Oversight Lead Location New York Business Area Legal, Compliance, and Risk Ref # 10052405 Description... ...Requirements The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work...Temporary workFor contractorsWork experience placementWork at office- We are looking for a Global Policy Lead for the Information Integrity domain, which encompasses misinformation, civic integrity, deceptive behaviors... ..., product contexts, stakeholder perspectives, and risk trade-offs.- Strong cross-functional collaboration skills, with...
$120k - $160k
...everything possible. The US Export Controls Lead will be responsible for managing the Pall... ...to Pall Corporation’s Director, Global Trade Compliance and is part of the Global... ...work remotely from your home. Additional information about this remote work arrangement will be...Permanent employmentFull timeWork at officeRemote workWork from homeWork visaFlexible hours- ...express views on real-world events by trading on outcomes across politics, economics,... ...the work is real from day one.As a Trade Surveillance Analyst, you will own the daily alert... ...actively reshaping how people engage with information and markets, this is the right seat....SurveillanceContract work
$150k - $400k
Vacancy detailQuantitative Strategist - Trade Surveilance $150-400k USDOnsite WORKINGLocation: New York, New York - United States Type: PermanentTrade... ...Quantitative Research, Trading & Risk Digital + Analytics Information Technology + Cyber Security Business Change and...SurveillanceFull timeWorldwide$120k - $190k
...located in Midtown Manhattan looking to bring on board a “VP - Trade Surveillance VP (FICC, Equities, FX/Commodities)” to join their team.... ...Exercise discretion in managing correspondence, information, and confidential matters; escalate issues when necessary....SurveillanceFull timeWork at office2 days per week- ...We enable individuals to express views on real-world events by trading on outcomes across politics, economics, sports, culture, and... ...a small, senior legal team and work closely with Compliance, Surveillance, and product. The mandate is clear: keep the FCM function legally...SurveillanceContract workPrivate practice
- ...Trade Surveillance Analyst page is loaded## Trade Surveillance Analystremote type: Hybridlocations: New York-New York Cityposted on: Posted... ...to firm policy and regulatory requirements* Liaise with Information Technology and Senior Management in the development, review...SurveillanceContract workFor contractorsImmediate start
Huron Consulting Group
New York, NY3 days ago $140k - $180k
...Vice President candidate to join the trade surveillance team, specializing in and possessing broad... ...in managing correspondence, information and all matters of confidentiality; escalate... ...compliance area, business or function and leads a team of specialistsSubject matter...SurveillanceFull timeLocal areaWork from homeFlexible hours- Mondrian Alpha, a leading hedge fund, is seeking a Compliance Lead to join its New York office... ...platform, providing pragmatic advice on trading activity and regulatory matters. The successful candidate will help enhance surveillance, drive automation initiatives, and evolve...SurveillanceWork at office
- About this role:Wells Fargo is seeking a Lead Compliance Officer to play a critical... ...effective compliance framework within a dynamic trading environment.In this role, you will:... ...employees will be expected to provide information to the Wells Fargo Personal Account Dealing...Full timeWork experience placement
$155k - $190k
OTC Derivatives Trade and Transaction Reporting Team Lead Join to apply for the OTC Derivatives Trade and Transaction Reporting Team Lead role at HSBC... ..., ethnicity, disability or medical condition, genetic information, military or veteran service, religion, creed, sex, gender...Full timeLocal areaFlexible hours$200k - $300k
...aircraft and engine leasing, debt, and trading transactions. This role offers the opportunity... ...and cross-functional teams, you will lead transactions from initial opportunity... ...disability, protected veteran status, genetic information, marital status, gender identity or any...Temporary workWork at officeWork from homeFlexible hours- Programmatic Trading Lead, Ad Operations About Us Fanatics is building a leading global digital sports platform. We ignite the passions... ...such as location, experience, qualifications, and training. For information about our benefits, please visit As set forth in Fanatics...Temporary work
$163.6k - $245.4k
Core Trade Structuring Lead - SVP Job Req Id: 26968482 Location(s): New York, New York, United States Job Type: Hybrid Posted: Jun. 02,... ...time off (sick leave), and paid holidays. For additional information regarding Citi employee benefits, please visit citibenefits...Full time- ...Shareholder Services (ISS STOXX) is seeking a senior Compliance Officer in New York to oversee conflicts of interest management, information barriers, and regulatory compliance within the ISS STOXX Compliance Department. The role reports to the Chief Compliance Officer and...
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Lead Information Barrier & Trade Surveillance. Be the first to apply!
