Surveillance Compliance Officer

Surveillance Compliance OfficerNew York, NY – Hybrid Hamlyn Williams have partnered with a global financial services platform, based in New York, NY, that are looking to hire a Surveillance Compliance officer.This role is on a hybrid basis three days per-week on site. If you are not able to work on site, please do not apply.As a Surveillance Compliance...

Contract Role located in Midtown New York City.Contract until the end of the year, offering a competitive pay rate. About Our Client Our client is a major international banking institution located in Midtown New York City, providing a comprehensive range of financial services, including corporate and investment banking, asset management, and specialized...

Job DescriptionJob DescriptionDaiwa Capital Markets America Inc. (“DCMA”), was incorporated in 1964. DCMA is a New York-based registered securities broker-dealer, a futures commission merchant, a primary dealer of U.S. Treasury securities, and a member of the New York Stock Exchange and other major U.S. exchanges. Our main focus is on the sales and...

Job SummaryWe are seeking a highly skilled Surveillance Officer to join our team at Mountaineer Casino Resort. As a Surveillance Officer, you will be responsible for monitoring video feeds and ensuring the security and integrity of our resort.Key ResponsibilitiesMonitor video feeds from various cameras throughout the resort to detect and prevent suspicious...

Compliance Officer – Trade Compliance and Generalist (New York, NY): Our client a Hedge Fund with over $2B in AUM is seeking a Compliance professional to join their growing legal and compliance team. This new hire will be reporting to the Chief Compliance Officer and be the go to compliance resource in the New York Office. Key Points: Role is newly created...

Compliance Officer – Trade Compliance and Generalist (New York, NY): Our client a Hedge Fund with over $2B in AUM is seeking a Compliance professional to join their growing legal and compliance team. This new hire will be reporting to the Chief Compliance Officer and be the go to compliance resource in the New York Office. Key Points: Role is newly created...

Compliance Officer – Trade Compliance and Generalist (New York, NY): Our client a Hedge Fund with over $2B in AUM is seeking a Compliance professional to join their growing legal and compliance team. This new hire will be reporting to the Chief Compliance Officer and be the go to compliance resource in the New York Office. Key Points: Role is newly created...

Compliance Officer (New York, NY): Our client, a global investment manager with over $30B in assets, has an exceptional opportunity for a mid-level compliance professional. This is an opportunity to report into the Chief Compliance Officer and oversee the US compliance program for the firm's private equity platform, while also collaborating with the credit...

As an Anti-Money Laundering Compliance Officer, you will be responsible for overseeing and managing the Firm’s AML, BSA, and OFAC compliance programs.The candidate must possess an in-depth understanding of AML requirements driven by FINRA, SEC, MSRB, OCC, and blue-sky regulations.Oversee the Firm’s BSA/AML/OFAC Program by establishing, implementing, and...

As an Anti-Money Laundering Compliance Officer, you will be responsible for overseeing and managing the Firm's AML, BSA, and OFAC compliance programs.The candidate must possess an in-depth understanding of AML requirements driven by FINRA, SEC, MSRB, OCC, and blue-sky regulations.Oversee the Firm's BSA/AML/OFAC Program by establishing, implementing, and...

Compliance Officer (New York, NY): Our client, a global investment manager with over $30B in assets, has an exceptional opportunity for a mid-level compliance professional. This is an opportunity to report into the Chief Compliance Officer and oversee the US compliance program for the firm's private equity platform, while also collaborating with the credit...

E-Communications Compliance Surveillance AssociateLegal & Compliance TeamThe Role: The Legal & Compliance Department protects by advising on ethical conduct, safeguarding reputation, and promoting a culture of Compliance.Associate candidates will work within our electronic surveillance team based in the New York office. This newly formed team will help...

E-Communications Compliance Surveillance AssociateLegal & Compliance TeamThe Role: The Legal & Compliance Department protects by advising on ethical conduct, safeguarding reputation, and promoting a culture of Compliance.Associate candidates will work within our electronic surveillance team based in the New York office. This newly formed team will help...

E-Communications Compliance Surveillance AssociateLegal & Compliance TeamThe Role: The Legal & Compliance Department protects by advising on ethical conduct, safeguarding reputation, and promoting a culture of Compliance.Associate candidates will work within our electronic surveillance team based in the New York office. This newly formed team will help...

Our client, a well-known international Investment Bank, is looking to add a Communications Surveillance Analyst to their Compliance Team. Responsibilities of this position include overseeing the firm's sales and trading business business, identifying potential regulatory and compliance violations, and preparing KPI metrices reports. The ideal candidate will...

Job SummarySumitomo Mitsui Banking Corporation is seeking a highly skilled Senior Surveillance Professional to join our Market Surveillance team. As a key member of our team, you will be responsible for monitoring and investigating market abuse risks within our FX and Fixed Income trading activities.Key ResponsibilitiesReview and follow up on trade...

Seeking a skilled Market Surveillance Analyst to join a top-tier Securities Trading Firm!The Role: The Market Surveillance team is responsible for monitoring trading in equity, derivative, and fixed income products to detect trading activity that could adversely affect the firm and its reputation. Analysts are provided with tools that display potential...

Seeking a skilled Market Surveillance Analyst to join a top-tier Securities Trading Firm!The Role: The Market Surveillance team is responsible for monitoring trading in equity, derivative, and fixed income products to detect trading activity that could adversely affect the firm and its reputation. Analysts are provided with tools that display potential...

Our client a top tier financial services firm is seeking an experienced Employee Personal Account Surveillance Specialist to join our team in New York City. The successful candidate will be responsible for overseeing the monitoring and management of employee brokerage accounts, conducting trading surveillance, and ensuring compliance with insider trading...

Our client a top tier financial services firm is seeking an experienced Employee Personal Account Surveillance Specialist to join our team in New York City. The successful candidate will be responsible for overseeing the monitoring and management of employee brokerage accounts, conducting trading surveillance, and ensuring compliance with insider trading...