Job Description: Title: Compliance Surveillance Analyst Duration: 2 Months Location: New York, NY Work Schedule...: Hybrid - 2 days in the office (Monday, Tuesday) Description Compliance Surveillance Analyst Essential Duties...
The Compliance Surveillance Analyst is responsible for monitoring employee and firm trading activities, maintaining... Surveillance Analyst include: Monitor employee brokerage accounts and ensure compliance with onboarding, disclosures, and data...
-to join our AML Compliance team. The Intermediate FIU Analyst is responsible for ensuring that AML Compliance's activities follow the... and help transform the lives of others. Brown Brothers Harriman is currently recruiting an Intermediate FIU Analyst...
to customers. To be considered for this position, please send a resume to careers@phillipcapital.com with “Compliance Analyst... of registered representatives Perform review of email surveillance, escalating items to the CCO as needed Develop, review...
they are and what they contribute. To learn more about CIBC, please visit What You’ll Be Doing As a Business Systems Analyst on the US Compliance... Activities, trade surveillance; affiliate transactions (Regulation W); gifts & entertainment; Dodd Frank (1071); and fair lending...
Job Description: Job Title: Compliance Analyst- US Control Room Location: In office New York, NY Firm Overview... and establishing and maintaining a best in class Compliance program for the firm's central US-registered Broker-Dealer, Cantor...
matter. The BCG Analyst would utilize a variety of surveillance tools to analyze trading activity, e-communications, employee...Pay rate range: $35-40/hr. Description: Business Controls Group ("BCG”) – Temporary Analyst This position...
Description: Business Controls Group (“BCG”) – Temporary Analyst This position is for a BCG Analyst for Client... anomalous behavior is detected, the BCG Analyst is responsible for escalating the activity and working collaboratively...
BCG Analyst would utilize a variety of surveillance tools to analyze trading activity, e-communications, employee trading.../compliance) Series 7, 55, 63, 24, 4 preferred Ability to review and analyze supervisory trade surveillance reports...
an experienced analyst to join its Structured Finance Ratings practice which provides credit ratings and opinions for securitizations... backed by RMBS assets. In this role, the Senior Analyst will be responsible for the end-to-end rating process, research, cash...
/Sanctions, CTF) in a management, compliance, or audit environment. Developing and implementing financial crime risk management... or compliance policies, programs, and procedures. A Master's Degree in one (1) of the related fields or a J.D. may substitute...
Required Duration: 12+ Months Role Type: W2 Contract Engagement As a Business Analyst specializing in eCommunications surveillance... to regulatory requirements. Regulatory Compliance: Ensure that the surveillance framework is aligned with industry regulations...
program, credit surveillance, and portfolio management. SMBC is a sponsor of an ABCP conduit, which issues commercial paper in... and legal matters related to the industry. Providing credit surveillance and portfolio management support. Others include...
and sales teams to ensure field exam plans and procedures are adhered to. Execute ongoing deal administration and surveillance... documents and servicing agreements. Escalate issues accordingly and manage credit risk and compliance documentation. May engage...