- JPMorgan Chase (Washington, DC)
- …and assets in our retail and corporate environments in North America. As the Global Head of Insider Risk Analysis within the Global Security team, ... you will manage the operational aspects of the Insider Risk Analysis function. Your primary responsibilities...and Global Workforce Screening, to implement coordinated insider risk mitigation processes. + Collaborate with… more
- TD Bank (New York, NY)
- …role. **Job Description:** TD Securities Compliance team is seeking a Director level Global Head of Surveillance Quality Assurance. Department Overview Our team ... the reputation of Compliance's good governance depends on us. Job Description The Global Head of Surveillance Quality Assurance will lead a specialized function… more
- SMBC (New York, NY)
- … global financial institution and a demonstrated ability to manage regulatory risk , insider lists, and trading restrictions in a complex, multi-entity ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...Description** SMBC's Compliance Department is seeking a highly experienced Head of Americas Control Room to oversee and enhance… more
- Santander US (New York, NY)
- …with Global Control Room counterparts, to prevent and detect insider trading and manage conflicts of interest. + Administer the transactional conflicts ... Room administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts...Room officer is responsible for working with the US Head of the Control Room to ensure that an… more
- Santander US (New York, NY)
- …(US) Control Room administers policies and procedures to prevent or detect insider trading and identify and manage potential transactional conflicts of interest. The ... Room officer is responsible for working with the US Head of the Control Room to ensure that an...and maintained to address compliance with applicable regulatory requirements, global requirements and key compliance issues and actions are… more