- Crdit Agricole CIB (New York, NY)
- … Compliance / Financial Security Job title ESG/ Advisory (Financial Security) Compliance Officer Contract type Permanent Contract Job summary Summary: This ... lens, identifying potential regulatory, reputational, and sustainability issues. Collaborate with business lines to provide proactive guidance on compliance and… more
- Franklin Templeton (New York, NY)
- …happening around the world. Position Summary: Fiduciary Trust International is hiring a Trust Officer to join our NY Market team in Midtown. This position is ... work schedule with three days in office. The Trust Officer will join one of our five market...in New York and assume a large book of business (large AUM, multi-generational) while maintaining and growing your… more
- BNP Paribas (New York, NY)
- …of GFS Sanctions norms and processes based on inquiries from stakeholders ( Compliance , Business , IG etc.). Reviewing and taking decisions on Derogations ... with being Group Financial Security's primary liaison with Local Compliance and Business contacts for (i) advisory...to grow and strengthen our commitment to the US market through our Corporate & Institutional Banking activities. We… more
- Citigroup, Inc. (New York, NY)
- …via our Citibank branches and centralized service centers. The Home Lending Officer role represents the Retail Mortgage business providing superior service ... The Mortgage Lending Officer role is a developing professional role. This...to audience diversity. Limited but direct impact on the business through the quality of the tasks/services provided. Impact… more
- Crdit Agricole CIB (New York, NY)
- …strategic responses to new compliance requirements. Management and Reporting The ICBRC Compliance Officer reports directly to the Head of GMRC in the ... open to people with disabilities. Reference 2025-101619 Update date 27/06/2025 Job description Business type Types of Jobs - Compliance / Financial Security Job… more
- Scotiabank (New York, NY)
- … Markets Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and ... Scotiabank Group. Be part of an innovative, Global Capital Markets and Investment Banking business with a...compliance audits for trade surveillance to identify potential market abuse and work collaboratively with various departments to… more
- CLS-Group (New York, NY)
- …worth of currency flows through our systems each day. Created by the market for the market , our unrivalled global settlement infrastructure reduces systemic ... lifecycle - whether through more efficient processing tools or market intelligence derived from the largest single source of...CLS Risk Management is led by the Chief Risk Officer (CRO), who reports directly to the Chief Executive… more
- Group PMX (New York, NY)
- …and in-house mentorship. We also encourage active participation in industry trade, business , and professional associations to keep you at the forefront of your ... alternative system as directed by the Project Chief Executive Officer (PCEO). o Ensure all project documents adhere to...collaborative data in digital form on an MTA-approved server. * Compliance and Quality Control: o Coordinate and ensure that… more
- Live Nation Entertainment, Inc. (New York, NY)
- …of Merch Traffic, you will lead all aspects of financial strategy, operations, reporting, and compliance for the business . You will be a thought partner to the ... (FP&A), budgeting, forecasting, and strategic modeling across the Merch Traffic business . Oversee accounting operations, ensuring SOX compliance with internal… more
- Raymond James Financial, Inc. (New York, NY)
- … Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic initiatives while ... Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will...Company, and state securities regulations. + Engage with senior business leaders, providing compliance guidance to support… 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 ... Sales & Trading Compliance Team is a Business Aligned Compliance Officer (BACO).... Markets Division. This role will provide regulatory compliance advice to the business and support… more
- Bloomberg (New York, NY)
- Global Risk and Compliance Policy Officer Location New York Business Area Legal, Compliance , and Risk Ref # 10041461 **Description & Requirements** The ... It's up to you to make it happen. **Our Team:** Bloomberg's Risk and Compliance Departments play a critical role in supporting our businesses and operations around… more
- Scotiabank (New York, NY)
- …Capital USA ("SCUSA") Futures Commission Merchant ("FCM"), and Security-Based Swap Dealer Chief Compliance Officer in: + the business as usual execution ... Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a...executed and delivered in support of the Swap Dealer Compliance team's business strategies and objectives. 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 ... risk appetite and protects the franchise. In addition, engages across the various Markets Compliance product and function coverage teams, in order to partner… more
- Scotiabank (New York, NY)
- Director, Markets Compliance Officer **Requisition... Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a ... Trading businesses by acting as a team leader for Markets Compliance . **What You'll Do** + Acting.... **What You'll Do** + Acting as a senior compliance officer and Compliance team… more
- TD Bank (New York, NY)
- …more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in adhering ... York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $125,000 - $140,000...The Senior Manager will provide support to the overall Markets Advisory Compliance team helping with large… more
- SMBC (New York, NY)
- …benefits to its employees. **Role Description** The SMBC Capital Markets , Inc. Capital Market Business Control Officer is a business -aligned change ... improve efficiency and strengthen controls within the SMBC Capital Markets , Inc. (CM) business . * Coordinates SMBC...risk assessments (eg, RCSAs), as required * Ensures the business unit is operating in compliance with… 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 ... help mitigate potential risks to the surveillance program, and ultimately the global Markets business , by delivering and comprehensive and effective second-line … 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)...support functions; + Analyzing proposed/new rules as well as market and internal business developments to assess… more
- Marex (New York, NY)
- …in the individuals within the various Marex Business lines from a Compliance perspective. Marex has unique access across markets with significant share ... (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who...serve as the subject matter expert to Marex Capital Markets Inc. ("MCMI") business units. Such guidance… more
