- Careers at KKR (Boston, MA)
- …changes and risks. This role reports to the Regulatory Affairs Chief Compliance Officer . RESPONSIBILITIES Develop a governance framework for regulatory filings ... Compliance team is involved in all matters of trading , anti-corruption, conflicts of interest, etc. to protect the...compliance , oversight, monitoring, and reporting of the Firm's trading platform and activities. The Legal & Compliance… more
- BitGo (Sioux Falls, SD)
- …provider of digital asset solutions, delivering custody, wallets, staking, trading , financing, and settlement services from regulated cold storage. Since ... Trust Company is currently looking to hire a Trust Officer to work out of Sioux Falls, SD. This...and periodic reviews of trust accounts to ensure ongoing compliance , accuracy, and client satisfaction. Maintain proficient knowledge of… more
- Oppenheimer & Co. Inc. (Scottsdale, AZ)
- …delivery Process cancellations and corrections of orders Works with the Branch Control Officer to ensure compliance with the Firm's policies and procedures ... financial services industry, including retail securities brokerage, institutional sales and trading , investment banking (both corporate and public finance), equity &… more
- Oppenheimer & Co. Inc. (Jericho, NY)
- …delivery Process cancellations and corrections of orders Works with the Branch Control Officer to ensure compliance with the Firm's policies and procedures ... financial services industry, including retail securities brokerage, institutional sales and trading , investment banking (both corporate and public finance), equity &… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer to join the CIB Macro Business Aligned Compliance Team. Learn more about the career ... (https://www.wellsfargojobs.com/career-areas/) . This role within the Macro Sales & Trading Compliance Team is a Business Aligned... Compliance Team is a Business Aligned Compliance Officer (BACO). The BACO for this… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is ... appetite and protects the franchise. In addition, engages across the various Markets Compliance product and function coverage teams, in order to partner to develop… more
- Wells Fargo (Charlotte, NC)
- …findings, and ensuring models are used appropriately and effectively throughout the bank. ** Trading and Market Risk Division of MRM** is responsible for the model ... by Corporate Investment Banking (CIB) Marekts for front office trading and risk management activities and by Market and...**About the Role:** Wells Fargo is seeking Model Risk Officer for the areas of Counterparty Credit Risk that… more
- Scotiabank (New York, NY)
- Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00 - 301,500.00 _Please note that the Salary Range shown is a guideline ... compliance support for the Scotiabank US Sales and Trading businesses by acting as a team leader for.... **What You'll Do** + Acting as a senior compliance officer and Compliance team… more
- CIBC (New York, NY)
- …CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for performing important advisory, ... Swap Dealer Compliance program. The Swap Dealer Compliance Officer is primarily responsible for 1)...desk's daily business activities; and 6) monitoring sales and trading activities to ensure compliance with CIBC… more
- TD Bank (New York, NY)
- …**Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The team supports ... Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a… more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... assigned compliance testing. + Coordinate and provide Compliance Advisory support to registration, employee trading ...provide Compliance Advisory support to registration, employee trading and assigned business line queries. + Ensuring … more
- JPMorgan Chase (New York, NY)
- …clients. In this role you will also focus on equities and fixed income trading Compliance matters. Job Responsibilities + Maintain policies and standards which ... status quo and striving to be best-in-class. As a Compliance Risk Management Senior Officer within the...set forth the requirements for equities and fixed income trading regarding the management and oversight over compliance… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision ... of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform ... a transaction-specific basis. + Liaise with other legal and compliance groups to address information barrier issues, trading... compliance groups to address information barrier issues, trading in equities and fixed income, employee personal … more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in ... **Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual...a plus + Experience in providing legal, regulatory or compliance advice to Markets sales and trading .… more
- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range shown is ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member...interest arising from private-side deals, publication of research or trading activities; + Work collaboratively with other Compliance… more
- Trexquant Investment (Stamford, CT)
- …professionals pushes the boundaries of quantitative finance. We are seeking a Chief Compliance Officer (CCO) to join our senior leadership team, overseeing ... + Work closely with quantitative researchers, engineers, and traders to integrate compliance into our algorithmic trading framework. + Oversee regulatory filings… more
- Marex (New York, NY)
- …For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide ... bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...+ Knowledge of operations, finance, regulatory reporting, sales and trading , and applicable rules and regulations, and the ability… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
