- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to join the CIB Fixed Income Business Aligned Compliance Team. This role ... within the Fixed Income Sales & Trading Compliance Team is a Business Aligned Compliance Officer (BACO) who will serve as a team lead serving in a… 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 ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is...for the markets advisory team with focus on the fixed income and municipal finance sales and trading business… more
- Raymond James Financial, Inc. (New York, NY)
- …**Job Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and ... Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business...the RJF Compliance Senior Leadership Team, shaping compliance strategy and direction. + Lead the… more
- Wells Fargo (New York, NY)
- …(BASS) team. This position will require deep product knowledge in Equities and Fixed Income as well as key regulations including Regulation W. The successful ... Controls and COO teams as well as other support functions (eg, Compliance , Testing, Risk, Operations, Technology, Legal, Audit and Human Resources). Their goal… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage...Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities.… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $150,000 USD TD is committed to providing fair ... you more specific details for this role. **Job Description:** The TDS US Compliance team is looking for Associate candidates to join the trade surveillance team.… more
- Citizens (New York, NY)
- …a senior-level role within the Compliance Department, reporting to the Chief Compliance Officer . This individual will be the firmwide subject matter expert ... execution across Investment Banking, Mergers & Acquisitions, Equity and Fixed Income Sales & Trading, Research, Corporate Access, and...Maintenance of Form BD in collaboration with the Chief Compliance Officer + Exam window management and… more
- Mizuho Corporate Bank (New York, NY)
- …Further, the team plays a key role (in collaboration with legal, compliance , IT, etc) in the analysis, requirements specifications, and implementation of new ... reporting requirements as relevant to their remit. Summary The Operations Regulatory Reporting Officer position will play a key role in the development of this newly… more
- TD Bank (New York, NY)
- …TD Securities Compliance team is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This is a global role, the incumbent ... Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office...(eg, Behavox). + Deep understanding of trading in equities, fixed income, FX, and derivatives markets, as well as… more
- New York University (New York, NY)
- …Background in grant-funded research environments. Additional Information: This is a one-year fixed -term position. In compliance with NYC's Pay Transparency Act, ... the RPPP evaluation ensuring standardized data collection, site communication, regulatory compliance , and reporting across all participating sites. In this role, the… more
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & ... Act and OFAC regulations, guidance, and regulatory expectations. The candidate will lead AML audits to assess the design and operating effectiveness of internal… more
- BlackRock (New York, NY)
- …time. Our investment software combines risk analytics with portfolio management, trading, compliance , and operations tools on a single platform to power informed ... closely with the Client's senior management team (Chief Operational Officer , Heads of Trading and Heads of Desks) and...of the suite of Aladdin products and tools + Lead and assist in Aladdin configuration, testing and user… more