Trade Surveillance Lead: Broker-Dealer & Swap Dealer
$159.4k - $181.9kCapital One Group
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 also managing and developing a team of analysts. Candidates should have expertise in trade surveillance, market regulation, and the ability to communicate effectively. The position is based in New York, NY and offers a competitive salary range of $159,400 - $181,900. #J-18808-Ljbffr Capital One Group
$159.4k - $181.9k
Trade Surveillance Manager (Broker-Dealer & Swap Dealer) - Capital One About the Role We are seeking a highly skilled Trade Surveillance Manager to lead and enhance the firm’s surveillance program across both its institutional Broker-Dealer (BD) and Swap Dealer (SD) businesses...SurveillanceFull timePart timeLocal area- ...the CBDs compliance program, providing risk management across mergers, acquisitions, investment banking, underwriting, equity sales, trading and research. You will review conflicts, OBAs, gifts and entertainment, and marketing materials, while conducting office...SuggestedWork at office
$130k - $180k
...are seeking a detail-oriented Compliance Surveillance Analyst to support our risk and... ...closely with internal teams to monitor trading activity, address potential regulatory... ...a regulatory agency. Familiarity with broker-dealer regulations and rules from the SEC, CFTC...SurveillanceFull timeRemote work- ...FinTech company, operating as a FINRA-member broker-dealer, is seeking an experienced and highly... ...framework, including transaction surveillance, customer onboarding, ongoing due diligence... ...processes, including securities trading activity, customer money movements, and...SurveillanceFull timeWork at office
- ...Compliance Manager to support the broker-dealer and registered investment... ..., regulatory testing, surveillance, registrations, advertising reviews... ...are completed on time. Lead annual compliance testing and... ...advertising, complaints, AML, OFAC, trade errors, cybersecurity, books...SurveillancePermanent employmentContract workTemporary work
$50 - $55 per hour
...Position Overview: Our client, a leading proprietary trading and options market-making firm, is... ...internal policies and procedures, oversee surveillance initiatives, manage regulatory... ...trading, options market making, or broker-dealer environments. ~ Strong knowledge...SurveillanceLong term contractContract workWork from home$75 - $175 per hour
SEC Broker-Dealer Regulatory Reporting SME About the Opportunity Our client, a global investment... ...UK-based entity’s U.S. security-based swap dealer reporting requirements. This is a... ...papers, and technical memos, review trade and product reporting structures Help build...Hourly payContract workWork experience placementRemote work- ...Broker Dealer Compliance Advisory- Equities & Options We are working with a financial services organization seeking an experienced Compliance... ...financial services experience • Experience advising trading, markets, or other front-office businesses • Strong knowledge...Full time
- Madison-Davis, LLC is seeking an experienced Compliance Manager to oversee regulatory advisory, trade surveillance, and supervisory compliance for futures, commodities, and swaps activities. The role emphasizes strong derivatives knowledge, independent management of...Surveillance
- ...to invest and save with confidence. As a Senior Associate, Broker Dealer Compliance , you’ll report to the Vice President of Broker-... ...procedures to ensure effective end to end controls in such areas as trading, money movement, and internal controls. Act as the eyes and...Work experience placement
$151.9k - $173.4k
...Description** **The Compliance Risk Manager will support Capital One’s broker dealers compliance program. Compliance Risk Managers are highly... ..., investment banking, underwriting, equity sales, trading and research, and secondary trading of asset backed securities...Full timePart timeWork at officeLocal areaFlexible hours- Atlas Search seeks a SEC Broker-Dealer Regulatory Reporting SME to support its UK-based entity’s U.S. security-based swap dealer reporting requirements. This is a one-year contract role that can sit in New York City or performed remotely. The role requires deep knowledge...Remote jobContract work
- ...Vice President, Banks & Broker Dealers, Global Bank About the Company Large Global Bank Industry Banking Type Privately... ...credit approvals. The role also involves evaluating risks across trading, structured finance, and trade finance activities; monitoring...
- ...Vice President, Banks & Broker Dealers, Global Bank About the Company Large global bank Industry Banking Type Privately... ...structures, and overseeing counterparty and settlement risk for trading activities. The role will review credit limits and support...
$90k - $120k
...Staff or Sr. Staff Accountant for one of Miami's Top Companies (Broker Dealers)! A very well known, highly respected, prestigious, Broker... ...IIA, equities, and haircuts. ~ Prepare monthly bank and trading reconciliations. ~ GAAP Experience ~ Advanced Excel User...Immediate start- ...About TPG : TPG is a leading global alternative asset management firm, founded in... ...opportunity for an Associate to join its broker-dealer Compliance team in the New York office.... ...media posts Conduct communications surveillance Prepare regulatory filings Support...SurveillanceWork at officeLocal area
- ...DescriptionPerform comprehensive credit analysis of Bank and Broker Dealers organizations, including holding companies, operating entities... ...counterparty credit risk and settlement risk associated with trading activities conducted through the New York Branch and U.S....
$60 - $63 per hour
...Temporary Consultant – Broker-Dealer Regulatory Reporting Russell Tobin is seeking a Temporary Consultant to support daily net capital calculations and regulatory reporting activities for U.S. and foreign broker-dealers. This role will work closely with the Securities...Contract workTemporary workLocal areaMonday to Friday- ...professional to join their team as a Rates Trade Assistant. Responsibilities... ...middle office, preferably at a bank or broker-dealer. ~ Working knowledge of linear interest... ...including government bonds, interest rate swaps, and futures. ~ Experience with trade...Full timeWork at office
- ...providing advisory and surveillance coverage for the firm’s... ...Commodities businesses and Swap activities conducted through its Introducing Broker entities and Swap... ...Introducing Broker, broker‑dealer, exchange, or... ...preferred.Experience with trade reconstruction, audit‑trail...SurveillanceWork at office
$191k - $252k
...limited products and services that support trading strategies, structures, and liquidity... ...Mateo, CA) Chief Compliance Officer, U.S. Swap Dealer FalconX is the most advanced digital... .... Given our global operations, industry-leading technology and deep liquidity, we have...Full timeLocal areaRelocation package- ...President‑level Compliance professional to support the global Swap Dealer Compliance Advisory team, providing coverage of Swap Dealer and... ...the principal point of contact for the US Commodity Futures Trading Commission (“CFTC”) and the National Futures Association (“NFA...Full timeWork at office
- Upgrade is seeking a Dealer Development Manager to represent our Auto Finance Division and expand our network of dealership partners across the United States from a remote position. You will build long-lasting relationships with decision-makers, drive activation and funding...Remote job
$150k - $180k
Careers / Frec / Senior Operations Associate — Broker-Dealer & RIA Senior Operations Associate — Broker-Dealer & RIA Posted 1 day ago About... ...build automated solutions that eliminate them at the source. Trading operations — Monitor algorithmic trading systems in real time,...Permanent employmentRemote workFlexible hours$120k - $150k
...growing Fintech Banking firm located in midtown Manhattan, New York. Our client requires 3+ years of Accounting experience at a Bank, Broker Dealer or Fintech; or within Public Accounting/Big 4 covering Financial Services clients. Must have a CPA or parts passed, with...Full timeWork at officeRemote work3 days per week- Amazon Autos seeks an Onboarding Specialist to lead dealer onboarding on our marketplace, guiding new dealerships from contract to first live transactions and beyond. You will manage end-to-end onboarding, coordinate with cross-functional teams, and drive scalable improvements...Contract workWork at office
$4,500 - $5,800 per week
...traders make complex risk decisions, model markets, and bring trading strategies to life every day. Working alongside our traders and... ...products. Our teams of engineers, traders and researchers harness leading-edge quantitative research and the accelerating power of...Weekly payFull timeSummer workInternshipRelocation package$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA - Vice President 4 days ago Be among the first... ...Base Salary: $170,000 - $190,000 base + bonus Overview A leading global financial institution is seeking an experienced Regulatory...Full timeWork at officeRemote work$200k - $300k
...Fixed Income IT Trading Implementation Lead Location: New York, NY (Hybrid) Compensation: $200,000–$300,000 Base + Discretionary Bonus Employment: Full-Time Unable to sponsor at this time. Not available for c2c. Travel: Occasional travel to UK About...Full time- ...W2 only - Immediate Hire - Lead Java Dev to work in Etrading , Fixed Income team Please email resume with contact number to vpatel... ...proficient in Java / Spring with expertise in developing FIX trading solutions. Must understand bilateral eTrading connectivity....Full timeContract workWork at officeImmediate startWork visa
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