Senior Trade Surveillance Investigator: BD & SD
Capital One
Capital One in New York is looking for a Trade Surveillance Principal Associate to enhance the Commercial Banking market conduct surveillance program. The role includes daily surveillance, analysis of trading activities, and ensuring compliance with SEC, FINRA, and CFTC regulations. The ideal candidate will have at least 3 years of relevant experience and a strong understanding of market conduct rules. This position offers competitive compensation along with a range of benefits. #J-18808-Ljbffr Capital One
Vacancy posted 3 days ago
Similar jobs that could be interesting for youBased on the Senior Trade Surveillance Investigator: BD & SD in New York, NY vacancy
$125k - $175k
Purpose of Role Marex is recruiting a Surveillance Compliance Officer to join the team at our New York office. The role focuses on Trade Surveillance (Trade Activity and Communications... .... Provide surveillance expertise to BD and FCM Advisory Compliance, adding context...SurveillanceSeniorBdWork at office$120.8k - $137.9k
...are seeking a highly analytical and investigative Trade Surveillance Principal Associate to play a key... ...its institutional Broker‑Dealer (BD) and Swap Dealer (SD) businesses. This individual will... ...surveillance metrics and reporting for senior management. Regulatory Inquiry &...SurveillanceBdFull timeLocal areaCapital One
New York, NY4 days ago$159.4k - $181.9k
Trade Surveillance Manager (Broker-Dealer & Swap Dealer) - Capital One About the Role We are... ...its institutional Broker-Dealer (BD) and Swap Dealer (SD) businesses. This individual will oversee... ...metrics and reporting for senior management. Data Integrity, Reconciliation...SurveillanceBdFull timePart timeLocal area$125k - $175k
...executing around 50 million trades and clearing 205 million contracts... ...Marex is recruiting for a Surveillance Compliance officer to join... ...regulatory examinations and investigations. This collaboration is essential... ...services to US Broker Dealer (BD) and FCM (Futures) business...SurveillanceSeniorBdFull timeWork at officeImmediate start$125k - $175k
Rex Technologies GmbH is seeking a Surveillance Compliance Officer in New York to provide Trade Surveillance and ensure compliance with SEC, FINRA, and other regulations. The role involves reviewing alerts, producing metrics, and collaborating with compliance teams. With...SurveillanceSenior$74.44k
...County District Attorney (QDA) is seeking candidates for Senior Rackets Investigator positions within QDA's Detective Investigator Squad, which... ...preparation of material for trial Conducting undercover surveillance and investigations Executing search warrants Testifying at...SurveillanceSeniorFull timeWork at officeQDAO - Investigate/Admin
New York, NY3 days ago$79.52k
...Division/Unit: Worker Protection Unit Position Title: Senior Rackets Investigator Civil Service Title: Senior Rackets Investigator Salary: $7... ...enforcement agencies. Conducting fieldwork, consisting of surveillance and various undercover operations. Reviewing facts to ascertain...SurveillanceSeniorFull timeTemporary workFor contractorsWork at officeMonday to FridayFlexible hoursShift workManhattan District Attorney
New York, NY3 days ago- ...APPLICANTS MUST BE PERMANENT IN THE FRAUD INVESTIGATOR CIVIL SERVICE TITLE The Department of... ...II positions to function as a Senior Investigator, who will: Responsibilities... ...including interviews, undercover operations, surveillance and interrogations. Meet with Supervisor...SurveillanceSeniorPermanent employmentFull timeWork at officeLocal areaMonday to FridayShift work
NYC Department of Buildings
New York, NY2 days ago $77.45k
...this mission, the BXDA seeks experienced and enthusiastic Senior Rackets Investigator. The Senior Investigator is responsible for conducting a... ...reader, LoJack tracking device, mobile digital terminals, and surveillance photographic equipment). Prepare reports and maintains...SurveillanceSeniorFull timeWork at officeWeekend workAfternoon shift- ...where you will work across our Global Risk Surveillance Program. This is an opportunity to... ...surveillance analysis, conduct deep dive investigations and regular reviews of non-exchange... ...exchange requests and investigations, conduct trade reconstruction efforts, and perform...SurveillanceSeniorTemporary workLocal areaWork from homeFlexible hours
- ...is seeking a skilled individual to oversee its Global Risk Surveillance Program in Houston. This role requires 7-10 years of experience... ...risks. You will manage daily surveillance analyses, conduct investigations, and ensure thorough documentation. The position includes...SurveillanceSenior
$89.2k - $148.6k
Sr. Market Surveillance Analyst - NY (Hybrid) page is loaded## Sr. Market... ...analysis of data related to trading activity, position... ...quality routine surveillance & investigations with minimal supervision.**What... ...regulatory organization, a Dealer (BD), a Futures Commission...SurveillanceSeniorBdContract workWorldwide$61.4k - $99.68k
...growing team. Our services span collectible trading cards, autographs, comic books, coins,... ...We’re looking for an Asset Protection Investigator to provide investigative support and... ...outcomes. Conduct stationary, foot and mobile surveillances as necessary to develop case...SurveillanceFull timeWork at officeLocal areaRemote workWorldwideFlexible hoursShift workCollectors
Jersey City, NJ3 days ago$128k - $180k
...Arnold & Porter is seeking a Business Development Manager in New York to support international arbitration and trade practices. This role involves strategic planning, market support, and client engagement while overseeing budgets and leading a team. Candidates should possess...BdArnold & Porter
New York, NY3 days ago- BNB Chain is seeking a seasoned professional to lead Business Development (BD) efforts aimed at driving trading volume and liquidity growth. You will manage key relationships with market makers, trading firms, and partners within the crypto ecosystem. The ideal candidate...SeniorBd
$128k - $180k
...Corporation seeks a Business Development Manager in New York to drive initiatives supporting its International Arbitration and International Trade practices. This role involves strategic partnership with practice leaders, leading high-impact pitches, and integrating lateral...BdStryker
New York, NY3 days ago$260k - $290k
...Broker-Dealer entities. As a senior member of the team, you'll interact... ...legal, product, engineering, trading, and portfolio management.... ...Expand and own the RIA and BD compliance programs end to... ...regulatory risk exposure. Own surveillance and monitoring across both entities...SurveillanceBdWork at officeMoment Technology
New York, NY3 days ago- ...Detroit seeks an experienced Business Development Manager in New York to drive business growth in its International Arbitration and Trade practices. This role involves developing business strategies, leveraging market intelligence, leading pitches, and enhancing client...Bd
AMA Detroit
New York, NY3 days ago $128k - $180k
...Agnello & Rogers is seeking a Business Development Manager to support its International Arbitration and Trade practices in New York. The successful candidate will drive business development initiatives, collaborate with partners and marketing teams, and oversee key client...BdAgnello & Rogers
New York, NY3 days ago$150k
A leading financial firm in New York is looking for a Senior Quant Researcher specializing in fixed income. This role involves researching and implementing advanced trading strategies while analyzing large data sets to identify trading opportunities. Candidates should...Senior$148k - $196k
...Business Development Manager in New York or Chicago. This role involves driving strategic growth across Structured Finance and Global Trade Finance practices. The ideal candidate will develop go‑to‑market strategies and engage directly with clients. Qualifications include...Bd- Quant Blueprint LLC is seeking a Quant Researcher in Madrid to research and implement trading strategies within our automated framework. Applicants should have a quantitative background and programming proficiency in C++, Java, or Python. The role includes analyzing data...Senior
$125k - $150k
...Responsibilities include regulatory filings, employee trading and conflicts reviews, Control Room activities, communications surveillance, policy and WSP development, audit engagement... ...broker‑dealer regulatory filings (Forms BD, U4, U5) on an annual, periodic, or ad hoc...SurveillanceBd$65k - $75k
...intellectual property. To support the company’s rapid growth, we seek a Senior Investigator for our Special Investigations Unit to lead complex... ...House IP House is redefining how the world combats illicit trade and intellectual property theft—delivering scalable, end-to-end...SeniorRemote workWorldwideFlexible hours$60k
Quant Blueprint LLC is seeking a Quant Researcher based in New York. This role involves researching and implementing trading strategies within an automated framework, and analyzing data to identify trading opportunities. Ideal candidates will have a quantitative background...Senior- ...compliance activities including conflicts of interest, personal trading, outside business activities, registration, and employee... ...consistency across initiatives such as wall crossings, trade surveillance, and monitoring activities Prepare and review regulatory filings...SurveillanceSenior
Alexander Chapman
New York, NY3 days ago - ...Vice President, Senior Compliance Officer, Monitoring & Compliance Oversight About... ...institution with broad exposure to compliance, surveillance, and risk functions. Industry... ...derivatives products, market structure, and trading behaviors. Familiarity with trade and...SurveillanceSenior
- SGS Société Générale de Surveillance SA is seeking a professional to develop new Equity Prime Brokerage business within the US Prime Services... ...Brokerage experience and a deep understanding of tactical trading strategies. The position offers a hybrid work arrangement allowing...SurveillanceSeniorRemote work
- ...to every individual's freedom. OKX is a leading crypto exchange, and the developer of OKX Wallet, giving millions access to crypto trading and decentralized crypto applications (dApps). OKX is also a trusted brand by hundreds of large institutions seeking access to crypto...SeniorBdLocal area
- ...global financial services firm seeking a Senior Equities Compliance Officer to provide... ...regulatory advisory support to its equities trading and sales businesses. This role sits... ...activities, and strategic initiatives Enhance surveillance, monitoring, and testing programs to...SurveillanceSenior
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Senior Trade Surveillance Investigator: BD & SD. Be the first to apply!
Related searches
- compliance investigator New York, NY
- housing investigator New York, NY
- human rights investigator New York, NY
- forensic investigator New York, NY
- healthcare investigator New York, NY
- surveillance investigator New York, NY
- legal investigator New York, NY
- employee relations investigator New York, NY
- corporate investigator New York, NY
- asset protection investigator New York, NY