- Santander US (New York, NY)
- Advisory Compliance Officer - Fixed Income Business Line Compliance Country: United States of America **Your Journey Starts Here:** Santander is a ... Job Family Description: You will provide real-time compliance advisory support to the US Fixed Income & Currencies sales and trading business which focus on… more
- TD Bank (New York, NY)
- …**Responsibilities:** + Provide compliance advisory coverage for the markets advisory team with focus on the fixed income and municipal finance sales ... specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support...Senior Manager will provide support to the overall Markets Advisory Compliance team helping with large projects… 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 ... . **What You'll Do** + Acting as a senior compliance officer and Compliance team...in relevant business forums and internal meetings. + Provide compliance support for equities and fixed income… more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join their team in New York. The role ... UAT Review of new scenarios. + Provide Surveillance expertise to BD and FCM Advisory Compliance , adding context and counsel to the objective response. +… more
- Mizuho Corporate Bank (New York, NY)
- …and implication in the onboarding process + Understand policy changes socialized by Compliance and implications to the onboarding process + Manage end to end ... acquisition of Greenhill, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas employs… more
- SMBC (New York, NY)
- … risk assessment exercise. **Qualifications and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or ... portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- TD Bank (New York, NY)
- …as the support functions including Technology and Operations * Build relationships with Compliance Advisory team by working closely with them on regulatory ... 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… 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)
- …across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory Compliance , and Risk functions. The incumbent provides strategic ... 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
- Mizuho Corporate Bank (New York, NY)
- …a global financial firm and will also work directly with the Deputy Chief Information Officer and the Chief Information Officer . OCIO is a nimble team in ... calendars, shared mailboxes, distribution lists + Monitor adherence to training and compliance initiatives + Assist with staff engagement activities and events for… more
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & ... to drive ambition for every future! **Purpose** The US Deputy Chief Information Security Officer (Deputy CISO) will support the MD & US CISO in building robust… 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
- Mizuho Corporate Bank (New York, NY)
- …Borrower and Bank Group + Report to Management, Supervisors and Account Officer all transactions that require special handling or approval Credit Arrangement ... projects, and assumes other duties, as assigned, completing such tasks on time. Compliance + Obtain a basic understanding of the applicable rules and regulations… more
- BMO Financial Group (New York, NY)
- …and investment banking, treasury management, as well as research and advisory services to clients around the world. #bmocapitalmarkets The **VP, Operational ... (CM ORR) group. As part of the Capital Markets Office of the Chief Operating Officer (CM OCOO), the CM ORR unit operates at a quick pace with exceptional quality… more
- Mizuho Corporate Bank (New York, NY)
- …advise on interpretation of existing and proposed rules and regulations to inform a compliance strategy + Such other matters as requested by the manager of the ... Corporate and Technology Legal team and/or the Chief Legal Officer Minimum Job Experience or Requirements: + JD with bar admission in New York + At least five years… more