- Santander Bank (New York, NY)
- Advisory Compliance Officer - Fixed Income Business Line Compliance Country: United States of America Your Journey Starts Here: Santander is a global leader ... We Want to Talk to You! USA Job Family Description: You will provide real-time compliance advisory support to the US Global Markets Business sales and trading … more
- Magnetar (Evanston, IL)
- …consider joining us as you explore a career at Magnetar! Position Overview As a Compliance Officer at Magnetar, the role will be responsible for supporting all ... to and works in close coordination with the Chief Compliance Officer . Responsibilities Assist with marketing material...including experience with the SEC marketing rules Experience with trading systems, Bloomberg, MCO, STAR Compliance and… more
- TD Bank Group (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 and ... provide you more specific details for this role. Job Description: The Senior Compliance Office provides advice, guidance and support to business units in adhering to… more
- State Street Corporation (Boston, MA)
- …in local management forums Prepare and assist with internal reporting activities (risk/ compliance , etc.) Exercise discretion and judgment with regard to matters of ... and team anticipates, monitors, actively manages and reports all risk and compliance issues, breaches and suspicious activities Act in accordance with Risk… more
- Societe Generale (New York, NY)
- …of asset classes, including both vanilla and highly structured products across both trading and lending activities. The role is actively involved in setting the risk ... RISQ division and with other partners such as business lines, legal and compliance teams Results focused, responsive, with strong strategic capabilities in terms of… more
- S&P Global, Inc. (New York, NY)
- …of interest by monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance with global ... About the Role: Associate Director - Internal Audit Review Officer The Role : Lead audits and provide analytical...global markets. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks to mitigate conflicts… more
- Sysco Corporation (Houston, TX)
- …and Corporate Governance will report to the Executive Vice President, Chief Legal Officer , serving as a key legal advisor to the company. This individual will ... legal and business strategy in this role. Duties and Responsibilities: Ensuring compliance with all laws and regulations relevant to areas of responsibility,… more
- FEG (Cincinnati, OH)
- …and any other analytics to meet client needs. Applying the Solutions to trading strategies, stock and financial market dynamics and equity trading system ... advisory firm that provides investment consulting, outsourced chief investment officer (OCIO), and research services to predominantly institutional clients1, such… more
- Wells Fargo (Charlotte, NC)
- …findings, and ensuring models are used appropriately and effectively throughout the bank. ** Trading and Market Risk Division of MRM** is responsible for the model ... by Corporate Investment Banking (CIB) Marekts for front office trading and risk management activities and by Market and...**About the Role:** Wells Fargo is seeking Model Risk Officer for the areas of Counterparty Credit Risk that… 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 ... compliance support for the Scotiabank US Sales and Trading businesses by acting as a team leader for.... **What You'll Do** + Acting as a senior compliance officer and Compliance team… more
- TD Bank (New York, NY)
- …**Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The team supports ... 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)
- …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 ... assigned compliance testing. + Coordinate and provide Compliance Advisory support to registration, employee trading ...provide Compliance Advisory support to registration, employee trading and assigned business line queries. + Ensuring … more
- JPMorgan Chase (New York, NY)
- …clients. In this role you will also focus on equities and fixed income trading Compliance matters. Job Responsibilities + Maintain policies and standards which ... status quo and striving to be best-in-class. As a Compliance Risk Management Senior Officer within the...set forth the requirements for equities and fixed income trading regarding the management and oversight over compliance… more
- Raymond James Financial, Inc. (New York, NY)
- …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
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform ... a transaction-specific basis. + Liaise with other legal and compliance groups to address information barrier issues, trading... compliance groups to address information barrier issues, trading in equities and fixed income, employee personal … 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 ... **Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual...a plus + Experience in providing legal, regulatory or compliance advice to Markets sales and trading .… 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...interest arising from private-side deals, publication of research or trading activities; + Work collaboratively with other Compliance… more
- Trexquant Investment (Stamford, CT)
- …professionals pushes the boundaries of quantitative finance. We are seeking a Chief Compliance Officer (CCO) to join our senior leadership team, overseeing ... + Work closely with quantitative researchers, engineers, and traders to integrate compliance into our algorithmic trading framework. + Oversee regulatory filings… 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 ... bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including… 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
