Global Markets Compliance & Surveillance Lead
RBC
RBC in New York seeks an Associate, Global Markets Supervisor to lead regulatory supervision and trade surveillance for US Global Markets. You will sign off on items for senior management, coordinate regulator representations, and ensure timely action on risk assessments and audits. You will train desk personnel, drive special projects, disseminate Standing Orders, and provide real-time corrective actions for trading anomalies while supporting expansion into new products. #J-18808-Ljbffr RBC
Vacancy posted 2 days ago
Similar jobs that could be interesting for youBased on the Global Markets Compliance & Surveillance Lead in New York, NY vacancy
- Our client, a leading global hedge fund with a reputation for exceptional... ..., is looking to hire a Compliance Lead to join its New York office... ...a key role in enhancing surveillance, driving automation initiatives... ...progression, a collaborative culture, market-leading compensation, and a...SurveillanceWork at officeFlexible hours
$97.2k - $195k
...second line of defense compliance and operational risk... ...ensuring requirements of the Global Compliance Enterprise... ...the root causes that lead to compliance risk... ...the relevant products, markets and venues, and other... ...Independent Testing through surveillance activity undertaken...SurveillanceFull timeWork at officeLocal areaFlexible hoursDay shift$190k - $290k
...provide clear guidance? As a Global Banking compliance specialist, you’ll deliver... ...across the business, including: lead coverage and oversight for the Equity Capital Markets business within Global... ...independent testing teams, surveillance teams and Operational Risk and...SurveillanceFull time$125k - $178.5k
...Description: This job is responsible for leading and executing on internal control... ...oversight and active management of the Global Markets Technology process, risk and control environment... ...Analysis Decision Making Monitoring, Surveillance, and Testing Problem Solving Quality...SurveillanceWork at officeShift workDay shift- Gemini is seeking a Head of Compliance for Gemini Galactic Markets, LLC to lead broker‑dealer and FCM compliance, covering SEC, FINRA, CFTC, and NFA frameworks. The role demands hands‑on development of surveillance, reporting, and written procedures in a technology‑forward...SurveillanceRemote work
- ...Director of Regulatory Affairs to serve as the Global Regulatory Lead (GRL II), responsible for developing strategies to secure market approval for products in specific... ...implementation of regulatory strategies, and ensuring compliance with applicable regulations. #J-18808-...
$150k - $250k
...are seeking a hands‑on US Compliance Officer to drive and support... ...Strategy & Licensing Lead and support US regulatory... ...and procedures including: Market conduct and surveillance AML/KYC and financial crime... ...Singapore Ensure consistency in global compliance standards while...Surveillance$143k - $214k
...individual's freedom. OKX is a leading crypto exchange, and... ...access to crypto markets. We are safe and... ...our multiple offices globally, we are united by our... ...About the Opportunity The Compliance & Ethics function at OKX... ...investigation intake to surveillance operations — serving...Surveillance$120k - $205k
...team as a Vice President in Global Compliance to support the Compliance... ...Banking and Global Capital Markets. The team provides timely advice... ...monitoring, testing and surveillance of Research-related... ...first, doing the right thing, leading with exceptional ideas, committing...SurveillanceTemporary work$165k - $200k
...DescriptionWhat is the opportunity?Associate, Global Markets SupervisorWhat will you do? Responsible for regulatory supervisory and trade surveillance program of US Global Markets (USGM).Part... ...Firm policies and procedures.Take the lead on special projects as required by...SurveillanceFull timeFlexible hours- ...UFJ Financial Group (MUFG), one of the world’s leading financial groups. Across the globe, we’re 150,00... ...President (AVP) will play an important role within the Global Markets Risk and Controls - Regulatory Risk and Surveillance team, helping the business identify, manage, and...SurveillanceFull timeWork at officeLocal areaRemote work
$125k - $155k
...regulatory supervisory and trade surveillance program of USGM. Part of a... ...and procedures. Take the lead on special projects as... ...an understanding of Capital Markets Minimum 2 years industry experience... ...of a highly qualified global workforce and plays a critical...SurveillanceFull timeFlexible hoursRoyal Bank of Canada
New York, NYmore than 2 months ago- 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
- A leading technology firm in New York is seeking a Senior Manager for Global Marketing & Social Analytics. This role requires 6+ years in a data-driven environment, with at least 2 years in media/entertainment or an agency. Responsibilities include leading analyses that...
- UBS in New York is seeking a Global Banking compliance specialist with deep risk awareness and independent judgment to advise... ...policies and regulations across the business. You will lead coverage for Equity Capital Markets within Global Banking, coordinate with Americas...
- VB Spine, a leading privately held spine company, is seeking a Sr. Staff Regulatory Affairs Specialist to drive global regulatory strategies for complex medical devices. This... ...authorities while guiding post-market activities and compliance programs #J-18808-Ljbffr VB...Remote job
- ...Senior Manager CMC Regulatory Affairs to oversee global CMC regulatory strategies for clinical development programs and marketing applications. The role is remote and... ...collaboration with various departments to ensure compliance with global regulations. The ideal candidate...Remote job
- Nomura Holdings, Inc. in New York seeks a Vice President to lead the AI and innovation program within Global Markets, blending technology strategy with business goals and change management. You will build an AI operating model across equities, fixed income, and cross-asset...
- SonicWall is seeking a Senior Hardware Compliance Engineer to lead regulatory compliance for network security hardware products. The ideal candidate will manage certifications across global markets, ensuring compliance with rigorous standards. Responsibilities include...
- ...VP of Product Marketing Location: New York, NY... ...Product Marketing to lead our product marketing... ...strategy, aligning with global objectives while addressing... ...fraud prevention, and compliance solutions Lead go-to... ...criminal and illegal surveillance cases, including: UNICEF...SurveillanceFull timeCasual workWork at officeLocal areaRemote workFlexible hours
Pixalate, Inc.
New York, NYa month ago - ...Inc. in New York seeks a senior lawyer to support Markets businesses, focusing on Rates and Markets Treasury... ...derivatives, and regulatory matters, interacting with Risk, Compliance and senior stakeholders. The role spans global desks, with potential management of four to five...
$169.04k - $253.56k
This is a senior attorney role to lead the negotiation and execution of derivatives documentation supporting our global Markets trading activities. This role will serve as a key... ..., its clients, and assets by promoting compliance, accountability, and a strong control environment...Full timeContract workCiti
New York, NY3 days ago$160k - $275k
...innovation in the financial markets. We are committed to... ...robust, ongoing member surveillance and effective but appropriate... ...enhancements, compliance with Risk Management policies... ...Primary Responsibilities: Lead multiple market risk teams across global offices. Understand...SurveillanceFull timeTemporary workRemote workFlexible hours- Morgan Stanley is a leading global financial services firm providing a wide range of investment... ...clients that seek to generate both market-rate returns and positive environmental... ...managers, Financial Advisors, Legal, Risk, Compliance, Operations and senior leadership.We...Temporary workWork experience placementWork at officeWorldwide
$213k - $376.2k
Responsibilities Our Global Legal Compliance team provides key support for all of ByteDance's and TikTok... ...platforms servicing our global markets. We help our technological and business... ...‑Bribery and Anti‑Corruption ('ABAC') Lead Compliance Counsel to join our Global...Temporary work$150.5k - $279.5k
Gemini is a global crypto and Web3 platform founded... ...impact. The Department: Compliance The Compliance Team at... ..., Gemini Galactic Markets, LLC Gemini is seeking... ...dynamic self-starter to lead our broker dealer and... ...command of supervisory and surveillance operations across...SurveillanceWork at officeRemote workFlexible hours- ...experienced risk analyst to conduct in-depth research and analysis of market, credit, and trading data to identify risks and develop... ...issues as appropriate while collaborating with market risk, surveillance, and other departments. #J-18808-Ljbffr Informatic Technologies...Surveillance
$120k - $160k
...impact - innovating at the speed of life. As a global leader in high-tech filtration, separation,... ...makes everything possible. The US Export Controls Lead will be responsible for managing the Pall Corporation’s Export Compliance program globally. This role will help develop...Permanent employmentFull timeWork at officeRemote workWork from homeWork visaFlexible hours- FalconX in New York City seeks a Compliance Associate, Markets Surveillance to independently investigate trade surveillance alerts, assist with token and asset due diligence, and help develop our surveillance program as the business scales. You will work at the intersection...Surveillance
- Obsidian is seeking experienced Trade Surveillance Experts to support the development and evaluation of advanced AI systems for markets compliance and detection of market abuse. In this role, you will leverage your expertise in trade surveillance and regulatory compliance...Surveillance
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Global Markets Compliance & Surveillance Lead. Be the first to apply!
Related searches
- marketing lead New York, NY
- digital marketing team lead New York, NY
- content marketing lead New York, NY
- surveillance officer New York, NY
- surveillance investigator New York, NY
- surveillance technician New York, NY
- surveillance New York, NY
- dot compliance New York, NY
- compliance auditor New York, NY
- pharmaceutical regulatory affairs New York, NY