- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...in Word, Excel and PowerPoint **Who We Are** TD Securities offers a wide range of capital markets products… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… 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...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- City National Bank (Los Angeles, CA)
- *INVESTMENT RELATIONSHIP OFFICER * WHAT IS THE OPPORTUNITY? Assist Financial Advisors by providing day to day client support and operational service on all CNS ... all new account documents, account transfers (acats), DTC delivery of securities , money movements including cash disbursements and deposits, wires, IRA… more
- TD Bank (New York, NY)
- …your recruiter who can provide you more specific details for this role. **Job Description:** This Compliance Officer is a key member of the TDS US Compliance ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...at a global financial institution. + Firm understanding of securities and derivatives rules and regulations, and the ability… more
- Sysco (Houston, TX)
- …Work from home on Thursday and Friday.** The **Associate General Counsel, Securities and Corporate Governance** will report to the Executive Vice President, Chief ... Legal Officer , serving as a key legal advisor to the...business stakeholders at all levels across the enterprise on securities , corporate governance, compensation and benefits, [entity management] and… more
- Marex (New York, NY)
- …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 ... regulatory reporting requirements. The position will primarily focus on providing real-time compliance advisory services and serve as the subject matter expert to… more
- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range shown is ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member...Internal Controls experience. + Strong understanding of applicable US securities regulations eg SEC 10b-5, securities offering… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer ... Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a… more
- Marex (New York, NY)
- … Compliance Officer - Fixed Income Advisory will provide compliance advisory services primarily for Fixed Income securities , including corporate bonds, ... bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including… more
- Equitable (Charlotte, NC)
- Chief Compliance Officer ( 250000CZ ) **Primary Location** : UNITED STATES-NC-Charlotte **Organization** : Equitable **Schedule** : Full-time **Description** At ... will help unlock your potential? Equitable is currently looking to hire a Chief Compliance Officer within Equitable Distributors Compliance , which is a part… more
- Berkshire Bank (Boston, MA)
- …$170,031 Location: Hybrid - Boston, MA - 60 State St Purpose/Objective: The VP, Compliance Officer Asset Management will develop, strengthen, and maintain the ... (Trust department) business and the Berkshire Banc Investment Services business. The VP, Compliance Officer is also responsible for understanding and advising on… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision ... of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic… 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...applicability and impact of laws and regulations for specific securities sales and trading businesses, and evaluate the impact… more
- First Horizon Bank (Memphis, TN)
- …best at serving their customers one opportunity at a time. **Summary:** The Senior Compliance Officer is primarily responsible for helping to ensure adherence to ... processes and procedures promulgated by Federal and State regulators. The Senior Compliance Officer is responsible for adherence to First Horizon Trust… more
- City National Bank (Los Angeles, CA)
- *LEAD CLIENT SERVICES OFFICER * WHAT IS THE OPPORTUNITY? Oversee the City National Securities Investment Relationship Officers and Assistant Investment Officers ... the Financial Advisors and licensed representatives of City National Securities . Provide training for Financial Advisors, Investment Relationship Officers, Assistant… 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 ... Trading Compliance Team is a Business Aligned Compliance Officer (BACO). The BACO for this...of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities… more
- US Bank (Chicago, IL)
- …Day One. **Job Description** This position within RSS will serve as the Chief Compliance Officer (CCO) for one of our multiple series trusts (MST) containing ... industry related role, preferably in a CCO role or securities related -Prior experience with compliance or operational aspects of ETFs - Strong knowledge of… more
- Robert Half Finance & Accounting (Reno, NV)
- …corporation. The wholly owned trust company is located in Reno, NV. The Trust & Compliance Officer position is located in Reno and will assist with all aspects ... Finance and Accounting is recruiting to fill a Trust Officer position in Reno, Nevada. This role is with...of trust administration and compliance requirements. This position will report to the Vice… more
- JPMorgan Chase (New York, NY)
- …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 team and ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...Knowledge of SEC, FINRA and MSRB rules relevant to securities trading with focus on regulatory trade reporting, best… more