Trade Surveillance Principal - Broker-Dealer & Swap Dealer
$131.8k - $150.5kCapital One National Association
Capital One National Association in New York is seeking a Trade Surveillance Principal Associate to enhance and execute its market conduct surveillance program. The role involves monitoring trading activities, conducting investigations, and ensuring compliance with regulatory requirements. The ideal candidate will have a Bachelor’s degree and at least three years of relevant experience in trade surveillance or compliance within a regulated trading environment. This position requires strong analytical skills and a deep understanding of market conduct regulation, with a salary range of $131,800 - $150,500. #J-18808-Ljbffr
Vacancy posted 3 hours ago
Similar jobs that could be interesting for youBased on the Trade Surveillance Principal - Broker-Dealer & Swap Dealer in New York, NY vacancy
$120.8k - $137.9k
...We are seeking a highly analytical and investigative Trade Surveillance Principal Associate to play a key role in executing and enhancing... ...surveillance program across both its institutional Broker-Dealer (BD) and Swap Dealer (SD) businesses. This individual will conduct...PrincipalSurveillanceFull timePart timeLocal areaCapital One National Association
New York, NY3 hours ago$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$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- ...Chief Compliance Officer (CCO), CFTC Swap Dealer & SEC Security-Based Swap Dealer About... ...frameworks, maintaining strong governance, surveillance, and risk management controls across... ..., recordkeeping, and derivatives trading controls, as well as excellent communication...Surveillance
- ...Description Job Description Self-Clearing Broker Dealer seeks experienced Chief Compliance... ...in the supervision of Equities Trading " as well as writing and updating Written... ...examinations; monitor complaints; conduct surveillance and transaction monitoring and reporting...Surveillance
ACG Consulting Group LLC
New York, NY8 days ago - A leading broker-dealer firm is seeking a Compliance Analyst to join their small team. The ideal candidate will have 1-3 years of experience in broker-dealer compliance, assisting in surveillance of trading activity, updating policies, and handling regulatory reporting...Surveillance
- ...Compliance Analyst in New York City. The ideal candidate will possess 1-3 years of experience in broker-dealer compliance. The role involves assisting with surveillance of trading activity, updating firm policies, and supporting regulatory reporting while staying informed...Surveillance
$200k - $225k
...Head Of Broker Dealer Compliance DriveWealth is on a mission to make investing easier. We... ...partners to offer seamless investing and trading experiences to clients worldwide, all... ...Review and approve detailed reports and surveillance investigations prepared by staff to...SurveillanceFull timeWork at officeWorldwideDriveWealth
New York, NY3 days ago$94k - $127k
...financial services firm is seeking a Compliance Officer to oversee the Swap Dealer Compliance Program. Responsibilities include managing compliance with CFTC, NFA, and SEC regulations, conducting surveillance program reviews, and responding to regulatory inquiries....Surveillance- ...Associate/AVP, Trader, Global Trading Unit, Portfolio Execution & Solutions Group - Equities... ...across cash, programs, options, swaps, and futures Harvest and deliver differentiated... ...pre‑ and post‑trade checks, and market surveillance Build and maintain strong relationships...SurveillancePermanent employment
GIC Private Limited
New York, NY4 days ago - ...client is looking for an accounting consultant with extensive broker dealer experience to help with an end-to-end reconciliation. This role... ...investigate and resolve reconciliation differences tied to trade date and settlement date activity. The consultant will work across...
Robert Half
New York, NY13 days ago $110k - $145k
...The Vice President of Broker Dealer and Middle Office Operations will lead a team responsible for the clearing, settlement, and operational... ...auditors, and industry counterparties while ensuring timely trade settlement, regulatory compliance, and risk mitigation. This position...Work experience placementWork at officeTeachers Insurance and Annuity Association of America
New York, NY3 days ago$200k - $235k
...platform, empowering our partners to offer seamless investing and trading experiences to clients worldwide, all from their mobile... ...global investing! About the Role: As Managing Director, Broker Dealer FINOP, you will be responsible for the regulatory financial reporting...Full timeWork at officeWorldwideDriveWealth
New York, NY9 days ago- ...One of our NY based Broker Dealers is looking for a P&S supervisor. Kindly see details below. P&S Associate at Broker Dealer Located in New... ...knowledge pertaining to REGSHO rule Reconciliation of Equity Trade Breaks in CNS. Obligation Warehouse monitoring and Corrective...Full time
ACG Texas
New York, NY3 days ago $151.9k - $173.4k
...Broker Dealer Advisory Manager Job Description Compliance Risk Manager will support Capital... ...investment banking, underwriting, equity sales, trading and research, and secondary trading of... ...regulatory schedule. Designated Principals Maintenance: Working closely with the Registration...Full timePart timeWork at officeLocal areaFlexible hoursCapital One National Association
New York, NY4 days ago$150k - $185k
...Marex, located in New York City, is seeking a Broker-Dealer Compliance Advisor with at least 8 years of compliance experience in the financial... ...regulatory requirements, particularly in Equities and Options trading. The successful candidate will have a Bachelor’s Degree in...Rex Technologies GmbH
New York, NY3 days ago$143k - $180k
...MUFG US and Canada Broker Dealer Treasury - VP page is loaded## MUFG US and Canada Broker Dealer Treasury - VPlocations: New York, NYtime... ...knowledge of broker dealer products (e.g., secured financing, trading, collateral management and/or derivatives). The VP will be a strong...Work at officeLocal areaRemote workMUFG Bank, Ltd
New York, NY3 days ago$110k - $165k
...heart of everything we do. From low-fee trading and robust market data to advanced... ...for a hands-on Senior Accountant with broker-dealer experience to own complex areas of the... ...supporting a Financial and Operations Principal Background in a clearing firm environment...Temporary workWork at officeWorldwideMonday to FridayWEBULL
New York, NY2 days ago$150k - $185k
...energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022. The Group provides... ...technology-powered services. Purpose of Role Marex is seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is a...Immediate startRex Technologies GmbH
New York, NY4 days ago$180k - $200k
1110 Invesco Group Services, INC. seeks a Sr. Principal Architect for its Systematic Trading Technology Team in New York. The role involves designing and building trading platforms, focusing on innovative solutions with cutting-edge technology. Applicants should have over...PrincipalFlexible hours1110 Invesco Group Services, INC.
New York, NY3 days ago- ...We're seeking a future team member for the role of Senior Vice President to join our Securities Finance Principal Trading team. This role is located in New York, NY. The Senior Vice President will support the principal business with specific product coverage across...PrincipalWork experience placement
BNY Mellon
New York, NY3 days ago - Security Based Swap Dealer Senior Compliance Officer Serve as the leader in all aspects of compliance associated with the SBSD and partner... ...experience Prior experience at a regulator, private firm, broker dealer or required Expert knowledge of SEC, FINRA rules related...Full time
$300k
Director - AMRS Equities Electronic Trading (Sales Trader) - New York Electronic Equity Sales Trading Senior electronic equities sales... ...Quantitative & Systematic Trading Support Trade Monitoring & Surveillance Market Microstructure Knowledge Data Analysis & Trend...SurveillanceShift workDay shift- ...Exchange, you'll think on your feet and grow your skills while providing floor surveillance, preventing loss and helping to create a safe environment for customers to buy, sell, and trade. Exceptional customer service and attention to detail is a must and some experience...Surveillance
Buffalo Exchange
New York, NYa month ago - ...A financial trading firm located on Wall Street is seeking an experienced Financial Reporting Manager. The ideal candidate will be... ...years of progressive accounting experience, particularly in the Broker-Dealer sector. Responsibilities include overseeing financial reporting...
Liberty Personnel Services, Inc.
New York, NY4 days ago $156.17k - $192.61k
...during the interview process. Role Overview The Compliance Lead, Broker‑Dealer & Investment Adviser is a senior member of Gusto’s Retirement... ..., complaints, books and records, BCP, Code of Ethics/Conduct, trade errors, and more. Own incident management and escalation,...Full timeLocal areaGusto
New York, NY3 days ago- ...most influential companies. As a Senior Principal eSoftware Engineer - EMM NA Technical... ...exchange layer but also within the wider trading stack. Form strong partnerships with... ...critical global regulatory reporting, surveillance, and control mandates as they evolve. Your...PrincipalSurveillanceFor contractors
- .../CPA designation and have 3-5 years of experience in the banking or broker-dealer sector. Responsibilities include day-to-day accounting, financial statement preparation, and collaboration with trading operations. Familiarity with ERP systems and US GAAP is essential. The...
$200k - $250k
...the No. 1 investment bank for all global M&A transactions. Broker-Dealer and Capital Markets Coverage Group Houlihan Lokey's Financial... .../ M&A support Markets Institutional Sales & Trading Research-led sales & trading High-touch & block execution...InternshipHoulihan Lokey
New York, NY9 hours ago- ...A major financial services group seeks a Junior Delta 1 Swaps Trader in New York. You will execute delta-one trading strategies, contribute to team success, and build market relationships. Required: 2-3 years in swap trading, proficiency in Python, and a quantitative...
Macquarie Bank Limited
New York, NY3 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Trade Surveillance Principal - Broker-Dealer & Swap Dealer. Be the first to apply!
Related searches
- sales broker New York, NY
- freight broker agent New York, NY
- logistics broker New York, NY
- freight broker New York, NY
- senior broker New York, NY
- energy broker New York, NY
- broker work from home New York, NY
- medicare broker sales manager New York, NY
- transportation broker New York, NY
- commercial broker New York, NY