Risk & Compliance Surveillance Specialist
Capital One
Capital One is seeking an Associate Risk Specialist in New York, NY. This role focuses on managing the Associate Surveillance Program, reviewing alerts from surveillance tools, and coordinating with compliance and business risk teams. Strong communication and regulatory knowledge are essential. The position offers exposure to multiple lines of business and opportunities to implement innovative risk mitigation approaches within a supportive team environment. #J-18808-Ljbffr Capital One
Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the Risk & Compliance Surveillance Specialist in New York, NY vacancy
$175k
Reference: 13578Senior Compliance Officer, Investec USAInvestec - Where... ...a 15a-6 broker-dealer, specialist lending desks, and global affiliates... ...regulatory and compliance risks across covered business... ...Compliance Advisory, Control Room, Surveillance, IT, Operations, Research...SurveillanceFull timeWork at officeRemote work- ...seeking a detail-oriented and collaborative Compliance Associate to support a broad range of... ..., Legal, Operations, Human Resources, Risk, and business teams to help maintain effective... .... Conduct compliance monitoring, surveillance, and testing activities, including electronic...SurveillanceWork at office
$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... ...and other applicable exchanges. Adhere to the operational risk framework and company policies, model highest standards of...SurveillanceWork at office$125k - $175k
...information visit Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join the team our at our New York office. The... ...implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant...SurveillanceWork at officeImmediate start$81.4k - $151.8k
...9/2026 Address 151 W 42nd Street Job Family Group Audit, Risk & Compliance The Capital Markets Senior Compliance Officer will assist... ...coordinates and performs ongoing risk assessment, monitoring and surveillance activities to ensure that the Compliance Program remains...SurveillanceLocal area$89k - $105k
...fingertips, anytime and anywhere. The Compliance Specialist will help create and champion a culture... ...practices and procedures, creating surveillance tools, responding to regulatory requests... ...testing, surveillance, audits and exams, risk assessments, and annual reviews to...SurveillanceWork at officeFlexible hoursShift work3 days per week- ...LHH in New Jersey seeks a detail-oriented Monitoring Specialist to ensure compliance with federal, state, and local requirements within workforce programs. You will conduct surveillance of activities, implement quality improvement, review internal reports, and prepare...SurveillanceLocal area
LHH
New York, NY2 days ago - Marex invites a Surveillance professional to join our US Compliance team in New York. You will review Trade, E-communications, and Voice surveillance for US Broker Dealer and FCM lines, ensuring timely and accurate determinations of true or false positives. Role requires...Surveillance
- ...leading alternative investment manager is seeking a Trade Surveillance Compliance Specialist to join its global Compliance team. This is a highly... ...Investment teams to identify and mitigate market conduct risks across multiple asset classes and jurisdictions. Key Requirements...SurveillanceFull timeWork at office
$85k - $145k
...COMPLIANCE SPECIALIST SENIOR WEALTH MANAGEMENT WHAT IS THE OPPORTUNITY? The Compliance Specialist establishes and implements an effective compliance... ...compliance operations Minimum 5 years of experience with risk management and/or Compliance policies and procedures...Remote workCity National Bank
New York, NY5 days ago- ...whose software is trusted by enterprise organisations operating in highly regulated industries. For this business, Governance, Risk & Compliance isn't simply about maintaining certifications. It's a key part of the customer experience, helping enterprise buyers build...Remote work
Quanta Services
New York, NY2 days ago - ...from 06:00 pm – 3:00 am IST in Bangalore, India. Responsibilities Collaborate with the Compliance team on implementation and execution of compliance programs. Identify and measure risks and monitor the business unit control environment. Perform risk assessments of...Work at officeMonday to Friday
Framework Ventures
New York, NY3 days ago - ...About the Role We are looking for a Compliance Specialist that can engage in various areas of the risk and compliance team, who understands how to take a data‑driven approach to compliance, and how to effectively communicate across the organization and with external...
Rainfall Ventures
New York, NY1 day ago - The Head of Compliance for Energy and Commodities Business and Chief Compliance Officer FCM... ...years of experience in compliance, legal, risk, or audit, focused on derivatives or... ...management program requirements, trade surveillance, and escalation frameworks. Proficiency...Surveillance
$90k - $200k
...Kroll’s North American Investigations, Diligence and Compliance practice is seeking a Senior Manager based in the U.S. This is a wide-ranging... ...intelligence, internal (client) investigations, insider risk compliance assessments, consulting projects and forensic matters...Temporary workFlexible hoursKroll
New York, NY5 days ago$70k - $145k
Compliance AnalystAbout Millennium Millennium is a global, diversified alternative investment... ...committed to collaboration, disciplined risk management and continuous learning. With... ..., processes, systems, controls, surveillance, testing, and reporting. The team works...Surveillance$125k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading... ..., and conducting pre- and post-trade surveillance. Our team is essential to Point72’s... ...cross-functional coordination with legal, risk, operations, finance, technology, and third...SurveillanceWork experience placement$145k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading... ..., and conducting pre- and post-trade surveillance. Our team is essential to Point72’s... ...cross-functional coordination with legal, risk, operations, finance, technology, and third...SurveillanceWork experience placement$70k - $160k
Compliance Analyst - Control RoomAbout MillenniumMillennium is a global, diversified alternative... ...committed to collaboration, disciplined risk management and continuous learning. With... ..., processes, systems, controls, surveillance, testing and reporting designed to help...Surveillance- ...expertise on a contract basis to support public company SOX 404 compliance and audit technology platforms. You will lead configuration of... ...ERP controls for SAP/Oracle/NetSuite, and collaborate with IT, Risk and Compliance to optimize GRC workflows. Strong data analytics...Contract work
Cephas Consultancy Services Private Limited
New York, NY2 days ago $122.85k - $163.81k
...Governance, Risk and Compliance (GRC) Specialist, North America About the Role: We have a current opening for a Governance, Risk & Compliance (GRC) Specialist, North America and are actively reviewing applications. As the Governance, Risk & Compliance (GRC) Specialist...Work experience placementFerrero International S.A.
New York, NY3 days ago$175k - $225k
...LEAD FIDUCIARY COMPLIANCE SPECIALIST WHAT IS THE OPPORTUNITY? The Lead Bank Fiduciary Compliance Specialist supports the execution, oversight... ...for monitoring compliance activities, supporting risk assessments and testing efforts, and contributing to the development...Work at officeRemote workCity National Bank
New York, NY1 day ago$97.2k - $195k
...job is responsible for executing second line of defense compliance and operational risk oversight for a Front Line Unit, Control Function, and/or... ...a similarly regulated sectorSkills:AdvisoryMonitoring, Surveillance, and TestingRegulatory ComplianceReportingRisk ManagementCritical...SurveillanceFull timeWork at officeFlexible hoursDay shift$10k
We’re seeking a Senior Regulatory Compliance Specialist for a 6‑month temporary assignment to lead high‑impact regulatory projects in connection... ..., defensible, regulator‑ready written materials—including risk assessments, compliance narratives, and formal responses to...Temporary work- Job Summary Senior Compliance Review Specialist Aptive is seeking a Senior Compliance Review Specialist to plan and conduct structured compliance reviews... .... The Senior Compliance Review Specialist will develop risk-informed review procedures, coordinate information requests...Work at office
$32.73 - $43.22 per hour
...projects and external subcontractors.* Be responsible for labor compliance company-wide.* Review all public contracts (and any private... ...Perform periodic audits on projects to ensure compliance.* Develop risk assessment on the Compliance Programs.* Monitor and stay...Hourly payFor contractorsApprenticeshipFor subcontractorWork at officeLocal areaRemote work- The Blackstone Group L.P. seeks an Associate, Risk Analytics within the Blackstone Credit & Insurance Solutions (BXCI) - Quant, Data... .... The role emphasizes quantitative analytics, portfolio surveillance, and risk monitoring in a regulated #J-18808-Ljbffr The Blackstone...Surveillance
- Informatic Technologies, Inc. is seeking an experienced risk analyst to conduct in-depth research and analysis of market, credit, and... ...issues as appropriate while collaborating with market risk, surveillance, and other departments. #J-18808-Ljbffr Informatic Technologies...Surveillance
$150k - $200k
...successful candidate will support the firm's compliance program across registered private equity... ..., assess, and mitigate compliance risks while supporting the continued growth of... ...Coordinate periodic compliance testing and surveillance activities related to private fund...SurveillanceFull timeLocal area3 days per week- ...Company is seeking a Vice President of Drug Safety to lead the global strategy and execution of all safety surveillance, risk management, and regulatory compliance activities across the product lifecycle. The successful candidate will be responsible for defining and...Surveillance
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Risk & Compliance Surveillance Specialist. Be the first to apply!
Related searches
- risk compliance officer New York, NY
- it risk analyst New York, NY
- governance risk & compliance analyst New York, NY
- transaction risk analyst New York, NY
- senior quantitative risk analyst New York, NY
- operational risk specialist New York, NY
- market risk analyst New York, NY
- operational risk consultant New York, NY
- quantitative risk analyst New York, NY
- third party risk analyst New York, NY