Senior Manager, Electronic Communications Surveillance - New York

+Job summary · Atlantic Group is hiring a Trade Surveillance Compliance Analyst (Hybrid) in New York, NY for our client, · supporting firm-wide trade and market surveillance and regulatory compliance. · +Review trade surveillance alerts and market activity, conducting investigati ...

A leading wealth management firm, to support their search for a Compliance Analyst in New York. Reporting to the Chief Compliance Officer – Central Compliance, this full-time role offers a hybrid work schedule in NYC and provides a unique opportunity to contribute to the firm's g ...

This role is instrumental in conducting trading and communication surveillance, investigating potential compliance issues, · ...

We are seeking a seasoned Senior Business Analyst with expertise in U.S. regulatory reporting and trade surveillance to lead business analysis efforts for strategic and BAU initiatives. · Liaise with internal teams, such as IT, operations, risk, compliance, and legal, · ...

This high-impact leadership role can be based in either the Midtown Manhattan or Jersey City office and follows a hybrid schedule, · with four in-office days per week. · Manage and guide the Communications Surveillance review team, · ensuring timely identification, escalation, · ...

We are hiring a Compliance Analyst (Investment Management) in New York, NY for our client. This hybrid role partners closely with compliance, business, and technology teams to oversee employee compliance, monitoring programs and regulatory requirements. · ...

Atlantic Group is hiring a Compliance Analyst (Investment Management) in New York, NY for our client, supporting investment advisory compliance, surveillance, regulatory filings, · Review and analyze trade communications and employee surveillance reports to identify potential com ...

The TD Securities Compliance team is seeking a Senior Compliance Officer (Associate-level) to join the Surveillance Data Quality Team.The ideal candidate will have strong expertise in financial markets, data governance, trade surveillance systems, and regulatory requirements at a ...

+Job summary · We provide accurate data and actionable insights that translate into better decision-making for our clients. · +ResponsibilitiesConduct preliminary investigations using social media and analyzing database research. · Perform covert surveillance from your vehicle by ...

The New York Stock Exchange is seeking a Surveillance Analyst to join NYSE Regulation's options regulation team. · Assess order and trading activity based upon alerts generated by surveillance systems. · Work with colleagues to determine if matters warrant further investigation. ...

The TD Securities Compliance team is seeking a Senior Compliance Officer (Associate-level) to join the Surveillance Data Quality Team. · ...

The TD Securities US Compliance team is looking for Vice President to join the Trade Surveillance team focused on Communications. · The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and ...

We are hiring a Trade Surveillance Compliance Analyst in New York, NY for our client. The role involves reviewing surveillance alerts and investigating potential regulatory issues. · ...

Work Location: · New York, New York, États-Unis d'Amérique · Hours · 40 · Line Of Business · Conformité · Pay Detail · $150,000 - $180,000 USD · TD is committed to providing fair and equitable compensation opportunities to all colleagues. Growth opportunities and skill developmen ...

The TD Securities US Compliance team is looking for Vice President to join the Trade Surveillance team focused on Communications. · The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and expertise on regulatory requirements and ...

Becker & Company is seeking a skilled and experienced Field Investigator to join our team on a Full-Time basis. This role is perfect for an investigator looking for full-time hours while providing expert investigative services. We investigate all types of insurance claims includi ...

Neuberger is seeking an Analyst to join the Compliance Team in New York. This person will report into the Chief Compliance Officer – Central Compliance. In this role, the primary focus is surveillance and monitoring, with opportunities to contribute to collaborative projects acro ...

A top-tier global banking group is seeking a Compliance Monitoring & Surveillance Manager to strengthen its Monitoring, Testing, and Surveillance capabilities across a rapidly evolving Capital Markets franchise. · You will sit within the Compliance Monitoring & Testing organizati ...

A leading wealth management firm, to support their search for a Compliance Analyst in New York. Reporting to the Chief Compliance Officer – Central Compliance, this full-time role offers a hybrid work schedule in NYC and provides a unique opportunity to contribute to the firm's g ...

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. · This individual will oversee day-to-day surveillance operations, · maintain robust co ...