- BMO Financial Group (New York, NY)
- …- 3 days in the office each week is the expectation Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer ... are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of regulatory requirements… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business ... compliance experience, preferably in an advisory capacity. The Senior Manager will provide support to the overall Markets...objectives **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- Santander US (New York, NY)
- Compliance Officer - Markets Business Line...You!** USA Job Family Description: You will provide real-time compliance advisory support to the US Fixed ... bank. USA Job Function Description: You will provide real-time compliance advisory support to the US Fixed ...with the ability to effectively influence others and engage senior stakeholders and foster collaboration amongst Compliance ,… more
- Scotiabank (New York, NY)
- …a team leader for Markets Compliance . **What You'll Do** + Acting as a senior compliance officer and Compliance team leader supporting Scotiabank US ... Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary...every future! **Purpose** In this role, you will provide senior compliance support for the Scotiabank US… more
- Citigroup (New York, NY)
- Citibank, NA seeks a Treasury Risk Officer for its New York, New York location. Duties: Design and conduct independent assessment of liquidity risks metrics inflows ... responsiveness to changes in the regulatory environment and ensure regulatory compliance . Produce presentation materials and present analysis to management and… more
- HSBC (Buffalo, NY)
- … policy locally by managing compliance risk in liaison with the Global Head of Compliance , Global Compliance Officer , Area Compliance Officer or ... our communities, and the planet we all share. The Senior Mortgage Oversight Specialist will conduct more complicated oversight...Local Compliance Officer , ensuring adequate compliance resources and training, fostering a compliance … more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities.… more
- Scotiabank (New York, NY)
- Senior Audit Manager, US Loan Review **Requisition ID:** 210150 **Salary Range:** 117.400,00 - 224.700,00 _Please note that the Salary Range shown is a guideline ... & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious &… more
- TD Bank (New York, NY)
- …for your business area/function and the bank, both internally and/or externally The Senior Compliance Office provides advice, guidance and support to business ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $150,000 USD TD is...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- Neuberger Berman (New York, NY)
- …: + Provide administrative coordination and compliance support to the Chief Compliance Officer and other senior members of the Legal and ... Neuberger Berman's Compliance team is seeking an Administrative Coordinator and...strong client service and ability to communicate effectively with senior leadership + Highly organized and detail oriented +… more
- BlackRock (New York, NY)
- … senior levels. **Your responsibilities:** + Collaborate closely with the Client's senior management team (eg Chief Investment Officer , Chief Risk Officer ... investment software combines risk analytics with portfolio management, trading, compliance , and operations tools on a single platform to...high profile initiatives that require team members to have senior level exposure and play an active role in… 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
- HSBC (Buffalo, NY)
- …will report into the Global Head of CRCS and the Chief Information Security Officer for the Americas, and closely collaborate with the CRCS Business Engagement Leads ... role holder will be required to manage engagement with senior stakeholders including the regional and business CIOs and...a pay range between $148,300.00 and $222,500.00 The final fixed pay offer will depend on the candidate and… more
- Scotiabank (New York, NY)
- …Partners across senior executives US CIO, Global CISO, Risk, Operations, compliance and legal teams to deliver improved US regulatory outcomes and strategies. + ... of systems or asset data and deliver monthly / quarterly reporting for senior management, Internal Controls, GRM, Compliance , Audit, Operational Risk or 1A… more
- HSBC (New York, NY)
- …to drive business performance and support management decision making. Works with senior management and finance partners to provide financial and technical analysis ... and forecasted financial position of CIB Banking and Coverage to support senior management decision making + Prepare materials for executive and management committee… more
- HSBC (Buffalo, NY)
- …and Strategy Lead role will be part of the US Technology Chief Information Officer (CIO) office and will be responsible for enabling and implementing the banks AI ... As our Artificial Intelligence Governance and Strategy Lead you will: + Ensure compliance with AI governance frameworks, policies, and procedures in response to a… 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 ... building, and can push processes forward, working on behalf of very senior executives and experienced team leads. Must maintain excellent organizational and… more
- Heritage Financial Credit Union (Newburgh, NY)
- …all requirements of the BSA and cooperate with the designated BSA Officer in assuring compliance . Experience:Experience using software including Microsoft Office ... financial planning, reporting, budgeting, investments, asset/liability management, and regulatory compliance done with precision and purpose? Are you not just… more
- BMO Financial Group (New York, NY)
- …(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 ... requires the VP to interact directly with GM stakeholders, including senior executives, to methodically resolve non-financial risk management challenges across a… more
- BlackRock (New York, NY)
- …and post-trade trade charges, fees and TCA + Collaborate closely with the Client's senior management team (Chief Operational Officer , Heads of Trading and Heads ... time. Our investment software combines risk analytics with portfolio management, trading, compliance , and operations tools on a single platform to power informed… more