Compliance Surveillance Jobs in Jersey City

Compliance Director / Legal The candidate ... to promote a culture of compliance; Review the adequacy of the ... employees, trade allocation, best execution, surveillance of communications, etc.); Update the..

Surveillance Product Specialist The Candidate will ... for creating, enhancing and implementing surveillance scenarios and conducting surveillance reviews. Improving surveillance tools and applications by coordinating ... by other organizations within..

Chief Compliance Officer The candidate administers a ... The candidate administers a formal compliance program, including updating procedures for ... including updating procedures for enterprise compliance strategy, structure and processes,..

Associate Director of Compliance Duties: Lead or Support an ... Have deep familiarity for practical compliance and regulatory matters relating to ... policies and procedures relating to compliance manuals, code..

... Information Deloitte Corporate Finance Senior Compliance Analyst in New York New ... York New York Corporate Finance Compliance Senior Analyst Deloitte Corporate Finance ... Finance LLC is seeking a..

Compliance, Merchant Banking Compliance, Associate/Vice President Job ID: 2020-65842 ... expectations. Develop, draft and maintain Compliance policies and procedures outlining firm ... best practices. Create and implement Compliance training programs...

Manager Compliance - Personal Securities Trading Duties: ... operations which consist of reviewing compliance reports, managing the preclearance approval ... monitoring trading exception reports. Conduct surveillance activities relative to trading..

Assistant District Attorney The candidate will with external agencies to obtain discovery materials, particularly those related to potential law enforcement witness credibility issues. Review sensitive disciplinary and personnel information to determine ..

Director, Financial Crimes Compliance The candidate will drive success ... the Anti-Money Laundering (AML), Sanctions Compliance (SC) and Anti-Bribery & Corruption ... and Anti-Bribery & Corruption (ABC) compliance programs by..

Job Description & Responsibilities Interactive Brokers is looking to hire a Senior Compliance Analyst at the Chicago Office. This is a position with excellent growth potential for highly motivated and exceptional ..

Felony Trial Assistant District Attorney, Homicide Bureau The candidate will be responsible for: Handling the bureau’s complex and sensitive cases from investigation through grand jury presentation. All aspects of trial preparation, ..

Director AML and Financial Crime Compliance The Candidate will be responsible ... CME Group’s global financial crimes compliance program, including further development and ... in a risk-based manner in compliance..

Security Based Swap Dealer Compliance Officer Duties: Responsible for compliance and regulatory matters relating to ... the BNS Swap Dealer Chief Compliance Officer in the implementation of ... as usual..

Director-Compliance and Privacy Investigations Duties: Responsible ... has oversight of general corporate compliance activities, communication and education, HIPAA ... with and directly oversee the Compliance and Privacy team to administer..

Equity and Fixed Income Research Compliance Coverage The candidate will advise ... appropriate. Coordinate with Legal and Compliance coverage across businesses with respect ... Coordinate with Research Legal and Compliance..

Compliance, Asset Management Compliance, Vice President The candidate will ... expectations. Develop, draft and maintain compliance policies and procedures outlining firm ... best practices. Create and deliver compliance trainings. Review..

SVP Surveillance Product Specialist Duties: Serves as ... Specialist Duties: Serves as a Surveillance Product Specialist in the Compliance Surveillance function within Independent Compliance Risk Management (ICRM). Will be .....

Manager - Regulatory Compliance The candidate will advise clients ... candidate will advise clients on compliance with the Securities Act, Securities ... marketing and advertising materials for compliance with the..

Corporate Vice President, Compliance Officer The candidate will assist ... developing, monitoring, and maintaining effective compliance policies and procedures in accordance ... Assess and test the Firm’s compliance with various..

Interactive Brokers is looking to hire a full-time remote Quality Assurance Compliance Analyst who resides in New York, Illinois, New Jersey, Massachusetts, Florida, Connecticut or California. This is a position with ..

... of Global Control Room and Compliance Surveillance The candidate will maintain all ... performing research clearance, and trade surveillance. Oversight of monitoring electronic communications ... dealers. Oversight of monitoring..

Manager Compliance, Personal Securities Trading Duties: Lead, ... operations which consist of reviewing compliance reports, managing the preclearance approval ... monitoring trading exception reports. Conduct surveillance activities relative to trading..

AML Compliance Senior Analyst - S&I The ... The candidate ensures that AML Compliance's activities follow the necessary rules ... rules and regulations by providing compliance support and expertise within..