- JPMorgan Chase (Jersey City, NJ)
- …to be best-in-class. As a Compliance , Conduct and Operational Risk (CCOR) Surveillance Lead ( Wealth Management Trade Surveillance ) Vice President, ... to enhance the Surveillance program + Interact with Line of Business Compliance and LOB Management to appropriately escalate potential issues + Work with global … more
- JPMorgan Chase (Jersey City, NJ)
- …box, challenging the status quo and striving to be best-in-class. As a CCOR - Surveillance Lead ( Surveillance Strategy) - Vice President within the Global ... surveillance enhancements and initiatives across the Corporate Investment Bank (CIB), Wealth Management and Asset Management Surveillance programs on a global… more
- Citigroup (Jacksonville, FL)
- …and budget approval. Responsibilities include: + Escalation-point for Product-Function Compliance , Compliance Surveillance , regulatory, litigation, ... The Head of US Citigold/Citi Private Client Wealth Supervision manages a team of over 50...Network. Candidate is responsible for establishing, maintaining, and supervising compliance with applicable securities laws and regulations to prevent… more
- Citigroup (Beverly Hills, CA)
- The Investment Strategy Lead is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering ... identifying short- and long-term investment opportunities and Global Markets for Citi Wealth investors in the region and for presenting, commenting and writing about… more
- Citigroup (New York, NY)
- The Investment Strategy Lead is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering ... commenting and writing about such opportunities in diverse forums + Provide surveillance of emerging macroeconomic and political developments across the region and… more
- US Bank (Charlotte, NC)
- …Institutional Banking program to ensure activities relating to investment of US Bank Wealth fiduciary client assets are in compliance with applicable laws, ... surveillance program. + Understand and propose solutions to compliance gaps associated with the use of private capital... violations and control gaps and weaknesses that may lead to compliance violations. + Provides … more
- Guidehouse (Mclean, VA)
- **Job Family** **:** Risk & Regulatory Compliance Consulting **Travel Required** **:** Up to 50% **Clearance Required** **:** None **What You Will Do** **:** ... has an aggressive growth strategy for its Financial Crimes, Risk and Compliance (FCRC) practice and currently seeks candidates with relevant financial crimes, fraud,… more
- Citigroup (New York, NY)
- …controls to identify any control breaks in surveillance . The role will lead and represent Compliance Technology on the OCEAN to Olympus migration. This ... 60+ employees and contractors, and a technology platform that fulfills the trade surveillance and supervision needs of the compliance department globally for the… more
- Scotiabank (New York, NY)
- …across industries! We work together to drive ambition for every future! **Purpose** Lead , execute, and manage Internal Control, COO, and Operations audits to assess ... Control governance framework is preferred including understanding of Supervision, Surveillance & Monitoring, Trade Floor Supervision, Risk and Control Library… more
- Huntington National Bank (Detroit, MI)
- …Corporate Mortgage Finance Group; work collaboratively with the group's RM Team Lead , other Banker/RMs, Portfolio Managers and other internal colleagues to support ... new business. This position reports to the RM Team Lead , or another senior leader determined by the Head...and concise communication of actual or potential counter-party performance, compliance or facility level credit or operational problems. +… more