- United Nations (New York, NY)
- …United Nations Joint Staff Pension Fund (UNJSPF). The incumbent will report to the Senior Investment Officer (SIO) of the Asia Pacific Team, who reports directly ... managed in-house. Asset classes under management comprise of global equities, fixed income, foreign exchange, private equity, real estate, infrastructure, timber,… more
- Marex (New York, NY)
- …services. For more information visit www.marex.com Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... compliance advisory services for Equities, Fixed Income, Listed Options, Structured Products trading activities as well as knowledge of various regulatory… 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 ... compliance advisory services primarily for Fixed Income securities, including corporate bonds, convertible bonds, agency bonds, municipal bonds, and US Treasuries… more
- 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 global ... compliance capacity. **Skills and Abilities** Experience in providing regulatory or compliance advise in connection with fixed income sales and trading… 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
- TD Bank (New York, NY)
- …this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The ... Compliance 's good governance depends on us. The Senior Compliance Office provides advice, guidance and...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- JPMorgan Chase (New York, NY)
- …outside the box, challenging the status quo and striving to be best-in-class. As a Compliance Risk Management Senior Officer within the JPM Wealth Management ... In this role you will also focus on equities and fixed income trading Compliance matters. Job Responsibilities + Maintain policies and standards which set… more
- Marex (New York, NY)
- …more 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 compliance advisory services for Equities, Fixed Income, Listed Options, Structured Products trading activities as well as knowledge of various… 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
- Raymond James Financial, Inc. (New York, NY)
- …the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive ... a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the...+ Serve as an integral member of the RJF Compliance Senior Leadership Team, shaping compliance… more
- Mizuho Corporate Bank (New York, NY)
- …and corporate functions to ensure an effective control environment. First Line Risk & Control Officer The First Line Control Officer is a member of a centralized ... control activities and promotes an effective control environment. The First Line Control Officer reports directly to BRC, with an additional reporting line to the… more
- Scotiabank (New York, NY)
- …work together to drive ambition for every future! **Purpose** Seeking a detail-oriented Senior Audit Manager who is seasoned Compliance Auditor with significant ... Senior Audit Manager, Audit Department **Requisition ID:** 229979...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
- TD Bank (New York, NY)
- …Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $250,000 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
- HSBC (New York, NY)
- …at HSBC is structured as a global function, headed up by the Chief Model Risk Officer (CMRO). MRM are the second line of defense (2LoD) for Model Risk and the CMRO ... Policies and Procedures. + Provide model users, model owners, senior management, audit, and regulators (across 1LOD, 2LOD, 3LOD)...a pay range between $171,700.00 and $257,500.00 The final fixed pay offer will depend on the candidate and… 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
