NewCIB Trade Surveillance Lead Control Officer - Fixed Income Wells Fargo BankCIB Trade Surveillance Lead Control Officer - Fixed IncomeNew York, New YorkThey are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. The Trade Surveillance Subject Matter Expert (SME) will report to the Head of Trade Surveillance SMEs and will be responsible for the design, implementation, and execution of trade surveillance controls in Fixed income, while escalating potential issues to Senior Management.
Trade Surveillance Consultant CapcoTrade Surveillance ConsultantNew York, NY$66,000–$72,000 / yearThis includes using AI-enabled features within LinkedIn to help source potential candidates, speeding up routine recruitment communications such as emails and creating compelling and brand-aligned job postings that accurately reflect role requirements, and AI-scheduling applications to improve the efficiency of interview coordination. You'll act as a trusted point of contact for surveillance product owners, technology teams and key stakeholders, while helping ensure monitoring processes remain effective, accurate and aligned with evolving business requirements.
Structured Finance - Cmbs, Director, Surveillance - New York Fitch RatingsStructured Finance - Cmbs, Director, Surveillance - New YorkNew York, NY$110,000–$135,000 / yearAs one of the world's top three credit ratings agencies, Fitch Ratings plays a critical role in global capital markets by providing supplementary credit analysis, ratings, research, and commentary to financial market participants. For over 100 years, Fitch Ratings has been creating value for global markets through its rigorous analysis and deep expertise, which have resulted in a variety of market leading tools, methodologies, indices, research, and analytical products.
Vice President, Trading Surveillance Compliance Futu SecuritiesVice President, Trading Surveillance ComplianceJersey City, NJstands at the forefront of financial services, housing two SEC registered broker-dealers alongside a cryptocurrency brokerage - all operating under the reputable wing of Futu Holdings Limited (Nasdaq: FUTU). About the Team & Role: The Vice President, Trading Surveillance will be responsible for monitoring, investigating, and escalating potential market abuse and regulatory violations across multiple asset classes.
Surveillance Analyst Intern Cboe Global Markets, IncSurveillance Analyst InternNew York, NY$22–$42 / hourThe ideal candidate has: Must be currently enrolled in a Bachelor's or Master's program in Finance, Accounting, Forensic Accounting, Business Forensics, Economics, Data Analytics, or Business Administration or other related and should not be scheduled to graduate before December of the year in which the internship takes place. The Regulatory team is hiring for a Surveillance Analyst Intern: An Internship with the Regulatory team is a unique opportunity from which Interns will gain valuable insight from their Cboe peers that will allow them to continue to develop their career skills and business knowledge.
Surveillance Analyst KalshiSurveillance AnalystNew York City, New YorkKalshi fought for years and legalized prediction markets in the US for the first time in history, is currently the fastest growing financial market in America, and has thousands of markets across politics, economics, financials, weather, tech, AI, culture and more. You will quickly develop a strong understanding of Kalshi’s products, market structure, and regulatory environment, taking ownership of investigations and producing clear, high-quality analysis for internal and regulatory stakeholders.
Trade Surveillance Specialist G MASSTrade Surveillance SpecialistNew York, NYThe team is small, fast-moving, and highly commercial, and the successful candidate will be someone who takes ownership from day one, works without hand-holding, and actively looks for ways to make the surveillance framework better. Conduct deep-dive analysis of the trading activity underpinning alerts, synthesising transactional data, market data, market context, client risk profiles, execution timing, and other potential risk factors.
Trade Surveillance Analyst G MASSTrade Surveillance AnalystNew York, NYThe team is small, fast-moving, and highly commercial, and the successful candidate will be someone who takes ownership from day one, works without hand-holding, and actively looks for ways to make the surveillance framework better. The team is deliberately lean and does not operate with close supervision: you will be expected to identify what needs doing, drive it to completion, and hold yourself accountable end to end.
Client Services Manager - Transaction Cost Analysis (TCA) and Trade Surveillance business FlexTrade Systems IncClient Services Manager - Transaction Cost Analysis (TCA) and Trade Surveillance businessgreat neck, NYThis individual will work directly with buy-side and sell-side trading desks, compliance teams, sales, product, and development teams to onboard clients, deliver analytics, troubleshoot issues, and help clients maximize value from the FlexTrade analytics platform. Through deep client partnerships with some of the worlds largest, most complex, and demanding capital markets firms, we develop the flexible tools, technology, and innovation that deliver our clients a competitive edge.
E-Communications Surveillance Analyst Royal Bank of CanadaE-Communications Surveillance AnalystJersey City, New JerseyMaintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC’s compensation philosophy and principles recognize the importance of a highly qualified global workforce and plays a critical role in attracting, engaging and retaining talent that: · Drives RBC’s high performance culture.
PGIM Credit, Asset Backed Finance Surveillance Director PGIM Global High Yield FundPGIM Credit, Asset Backed Finance Surveillance DirectorNewark, NJ$170,000–$180,000 / yearProgramming and data visualization skills required, with the ability to leverage AI to build efficient systems that analyze both existing datasets (e.g., Bloomberg, Intex, dv01) and bespoke issuer reporting not captured by traditional databases. Identify and escalate collateral-integrity or cash-reconciliation anomalies, such as unexplained variances between reported and expected collateral or cash, that may signal fraud, double-pledging, or other data-integrity risk.
Client Services Manager - Transaction Cost Analysis (Tca) And Trade Surveillance Business FlexTrade SystemsClient Services Manager - Transaction Cost Analysis (Tca) And Trade Surveillance BusinessGreat Neck, NYThis individual will work directly with buy-side and sell-side trading desks, compliance teams, sales, product, and development teams to onboard clients, deliver analytics, troubleshoot issues, and help clients maximize value from the FlexTrade analytics platform. Job Description: FlexTrade is seeking a highly motivated Client Services Manager / Trading Analytics Specialist to support the continued growth of our Transaction Cost Analysis (TCA) and Trade Surveillance business.
Information Barrier Surveillance Lead Analyst The Toronto-Dominion BankInformation Barrier Surveillance Lead AnalystNew York, NY$150,000–$180,000 / yearTotal Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions.
Director, Compliance - Trade Surveillance Data Quality Team Lead - TD Securities (US) The Toronto-Dominion BankDirector, Compliance - Trade Surveillance Data Quality Team Lead - TD Securities (US)New York, NY$200,000–$250,000 / yearSpecifically, the incumbent will work with TDS Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a Surveillance data quality framework that includes: policies and procedures for effective data governance; data completeness and accuracy checks; surveillance inventories (define surveillance critical data elements); data-quality monitoring tooling and metrics. Total Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition.
VP Compliance - Trade Surveillance, Communications - TD Securities (US) The Toronto-Dominion BankVP Compliance - Trade Surveillance, Communications - TD Securities (US)New York, NY$150,000–$180,000 / yearTotal Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. Our services include underwriting and distributing new issues, providing trusted advice and industry-leading insight, extending access to global markets, and delivering integrated transaction banking solutions.
Director, Global Head of Communications Surveillance The Toronto-Dominion BankDirector, Global Head of Communications SurveillanceNew York, NY$185,000–$225,000 / yearTotal Rewards at TD includes base salary and variable compensation/incentive awards (e.g., eligibility for cash and/or equity incentive awards, generally through participation in an incentive plan) and several other key plans such as health and well-being benefits, savings and retirement programs, paid time off (including Vacation PTO, Flex PTO, and Holiday PTO), banking benefits and discounts, career development, and reward and recognition. The role exercises independent judgment and escalation authority on matters relating to market abuse, insider trading, and communications‑based market abuse misconduct, and represents GTS Communications Surveillance in senior internal governance forums and regulatory engagements.
Director, Trade Surveillance & Financial Crimes Compliance moomooDirector, Trade Surveillance & Financial Crimes ComplianceJersey City, NJ$185,000–$230,000 / yearAs the firm's subject matter expert for Trade Surveillance and AML, this leader is responsible for ensuring the effectiveness of surveillance and AML controls, maintaining compliance with SEC, FINRA, BSA, USA PATRIOT Act, OFAC, and other applicable regulatory requirements, and proactively identifying emerging risks through data analytics, technology, and industry best practices. This role provides strategic and operational leadership over market abuse surveillance, supervisory review, financial crime investigations, transaction monitoring, customer due diligence, regulatory reporting, and program governance.
NewManager - Capital Markets Surveillance Technology & Implementation Deloitte Touche Tohmatsu LtdManager - Capital Markets Surveillance Technology & ImplementationJersey City, NJ$144,600–$265,100 / yearExperience defining and validating surveillance data requirements, mappings, and lineage across orders, executions, RFQs, market data, reference data, communications, and employee data, including completeness, accuracy, timeliness, exception management, and source-to-target reconciliation controls. Experience developing functional and technical requirements, data dictionaries, mapping specifications, test strategies, test cases, and defect-management artifacts, with hands-on participation in system integration testing, user acceptance testing, regression testing, and production validation.
NewSenior Consultant - Capital Markets Surveillance Technology & Implementation Deloitte Touche Tohmatsu LtdSenior Consultant - Capital Markets Surveillance Technology & ImplementationJersey City, NJ$119,000–$218,300 / yearExperience defining and validating surveillance data requirements, mappings, and lineage across orders, executions, RFQs, market data, reference data, communications, and employee data, including completeness, accuracy, timeliness, exception management, and source-to-target reconciliation controls. Experience developing functional and technical requirements, data dictionaries, mapping specifications, test strategies, test cases, and defect-management artifacts, with hands-on participation in system integration testing, user acceptance testing, regression testing, and production validation.
Overnight Surveillance Security Lead GardaWorld Security Services U.S.Overnight Surveillance Security LeadBayonne, NJFull timeGardaWorld Security is a global champion in sophisticated and tailored security solutions, employing and training highly skilled and dedicated professionals across the globe. This policy applies to all terms and conditions of employment including, but not limited to hiring, placement, assignment, promotion, termination, layoffs, recalls, transfers, leaves of absence, compensation, and training.