Sr Manager, Product Management - Corporate Surveillance Capital One Financial CorpSr Manager, Product Management - Corporate SurveillanceNew York, NY$200,700–$229,100 / yearBasic Qualifications: Currently has, or is in the process of obtaining one of the following with an expectation that the required degree will be obtained on or before the scheduled start date: A Bachelor's or Master's Degree in a quantitative field (Statistics, Economics, Operations Research, Analytics, Mathematics, Computer Science, Computer Engineering, Software Engineering, Mechanical Engineering, Information Systems or a related quantitative field), Business or Marketing. As a product manager on the Corporate eComms Surveillance team, you will bridge the gap between regulatory necessity and cutting-edge technology, ensuring our capital markets clients remain compliant in an increasingly scrutinized global market.
Senior Manager, Project Management- Corporate Surveillance Capital One Financial CorpSenior Manager, Project Management- Corporate SurveillanceNew York, NY$161,500–$184,300 / yearWhat you should bring to the role: Fixed Income and Derivatives Markets/Product Subject Matter Expertise: Direct the product lifecycle for surveillance tools monitoring email, chat (Bloomberg, Slack, Teams), and voice, ensuring robust detection of market abuse and conduct risk. As a Senior Project Manager on the Corporate Surveillance team, you will bridge the gap between regulatory necessity and cutting-edge technology, ensuring our capital markets clients remain compliant in an increasingly scrutinized global market.
VP Compliance - Trade Surveillance, Fixed Income TD BankVP Compliance - Trade Surveillance, Fixed IncomeNew York, New YorkTotal 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. Preferred Qualifications: The TD Securities US Compliance team is looking for a Vice President candidate to join the trade surveillance team, specializing in and possessing broad knowledge in Fixed Income, Commodities, Options and Futures products.
Trade Surveillance Analyst PolymarketTrade Surveillance AnalystNew York, New York$75,000–$150,000 / yearBuilt as a peer-to-peer marketplace with no centralized "house," Polymarket aggregates diverse opinions into transparent, market-based probabilities that reflect collective expectations about the future. Investigate alerts end-to-end, pulling and analyzing order book data, position information, and trade history using SQL, Python, or internal tools.
AML Surveillance Tools Engineer/Developer TD BankAML Surveillance Tools Engineer/DeveloperNew York, New YorkTotal 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.
Monitoring & Surveillance Compliance Officer (Vice President) Credit Agricole SAMonitoring & Surveillance Compliance Officer (Vice President)NEW YORK, NY$135,000–$165,000 / yearKey Responsibilities:Review and handle communications alerts and pertinent data to assess potential violations of laws, rules, regulations and the Firm's policiesDirect the Monitoring & Surveillance review team, ensuring effective risk identification, escalation, and resolution. Key Internal contacts:All business units;IT Department;Legal department;Audit department;Risk departments; andOperations departments.
Lead Post Market Surveillance Specialist Hologic IncLead Post Market Surveillance SpecialistNewark, NJThe position also serves as the accountable owner for trending-related quality remediation activities, translating identified process gaps into sustainable improvements through partnership with Product Quality Engineering, Design Assurance, Regulatory Affairs, Corporate Quality, and other quality system stakeholders. The Lead Specialist is responsible for continuously assessing the effectiveness of the overall trending system, identifying opportunities for improvement, and driving implementation of enhanced surveillance capabilities that enable earlier and more effective detection of product quality risks.
Segment Producer Surveillance Bloomberg LPSegment Producer SurveillanceNew York, NY$85,000–$110,000 / yearYou will be responsible for: producing segments for reporters, newsmakers and top guests on market-moving stories, taking the initiative on covering breaking news, and supporting the line producer, senior producer and anchors. Bloomberg Television is looking for a highly motivated segment producer to join one of our flagship moeninf programs in-person at our world headquarters in NYC.
NewMarket Surveillance Analyst TP ICAP Group plcMarket Surveillance AnalystNew York, NY$125,000–$150,000 / yearRole Responsibilities: Respond to regulatory inquiries from CFTC and SEC; Conduct real time market monitoring of trading activity on all SEF platforms; Monitor electronic communications that are flagged as per a predefined lexicon and review/escalate any potential irregularities; Ensure all regulatory trade reporting is accurate; Work with relevant teams to ensure processes and procedures supporting SEF activity is conducted in accordance with relevant regulations; Responsible for compiling weekly report of industry comparisons across all asset classes for SEF Management; Coordinate with SEF's regulatory service provider, NFA, regarding trade surveillance exceptions and resulting inquiries/investigations; and. The successful candidate will work closely with internal stakeholders and external regulatory bodies, including the National Futures Association (NFA), to investigate potential market irregularities, support regulatory examinations, and ensure the effectiveness of controls, processes, and procedures governing SEF operations.
AML Surveillance EDD & CDD Analyst ConnectOne Bancorp, Inc.AML Surveillance EDD & CDD AnalystUnion, NJ$65,000–$85,000 / yearIn this role you will: Support the Bank's "client first" focus and rules of engagement-maintaining a professional demeanor, working as an active member of the CNOB team, providing all clients excellent service, always striving to make CNOB "A Better Place to Be". About this role: The AML Surveillance EDD & CDD Analyst analyzes information on banking transactions with regard to BSA, AML, and SAR regulations and requirements and completes all reports as necessary.
NewMarket Surveillance Analyst TP ICAPMarket Surveillance AnalystNew York, New York$125,000–$150,000 / yearRespond to regulatory inquiries from CFTC and SEC; Conduct real time market monitoring of trading activity on all SEF platforms; Monitor electronic communications that are flagged as per a predefined lexicon and review/escalate any potential irregularities; Ensure all regulatory trade reporting is accurate; Work with relevant teams to ensure processes and procedures supporting SEF activity is conducted in accordance with relevant regulations; Responsible for compiling weekly report of industry comparisons across all asset classes for SEF Management; Coordinate with SEF’s regulatory service provider, NFA, regarding trade surveillance exceptions and resulting inquiries/investigations; and. The successful candidate will work closely with internal stakeholders and external regulatory bodies, including the National Futures Association (NFA), to investigate potential market irregularities, support regulatory examinations, and ensure the effectiveness of controls, processes, and procedures governing SEF operations.
VP, Compliance & Surveillance Technology Lead Developer TD BankVP, Compliance & Surveillance Technology Lead DeveloperNew York, New YorkSummary : The Lead Developer role is a hands-on role focused on designing, developing, and maintaining application development frameworks which help integrate vendor and proprietary solutions that support scalable, secure, reusable solutions across the Compliance, Surveillance and Supervision area. 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.
Director, Trade Surveillance & Financial Crimes Compliance Futu SecuritiesDirector, Trade Surveillance & Financial Crimes ComplianceJersey City, NJAs 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.
Director, Trade Surveillance & Financial Crimes Compliance Futu Securities International (Hong Kong) LtdDirector, Trade Surveillance & Financial Crimes ComplianceJersey City, NJAs 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.
Compliance - Market Surveillance Analyst Foris DAX MT LtdCompliance - Market Surveillance AnalystNYRemote$90,000–$110,000 / yearIn this position you will be responsible for detecting and investigating trading activity in derivatives markets to detect potential violations of Exchange rules and CFTC Regulations applicable to trading across multiple asset classes traded on CDNA markets, and provide guidance to market participants based on their dynamic needs. Perform real-time monitoring of all exchange activity, security feeds, and product safety data to identify potential market abuse (wash trading, spoofing, etc.) and ensure price discovery is fair and not manipulated.
NewCIB Trade Surveillance Lead Control Officer - Fixed Income Wells Fargo & CoCIB Trade Surveillance Lead Control Officer - Fixed IncomeNew York, NY$120,000–$196,000 / yearThey 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.
NewPost Market Surveillance Specialist Mallinckrodt PharmaceuticalsPost Market Surveillance SpecialistBridgewater, New JerseyPerform quality metrics and trending analyses for complaint data, including complaint timeliness, lot trending, complaint category trending, and root cause trending presented during Product Performance Management and Management Review meetings. Collaborate effectively with cross-functional stakeholders, including R&D, Engineering, Quality, Operations, Medical Affairs, Technical Services, Product Support, Clinical Services, and Customer Care to evaluate complaint data and product performance.
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.