- Marex (New York, NY)
- …For more information visit www.marex.com Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance ... process. Carry out assigned compliance testing. Coordinate and provide Compliance Advisory support to registration, employee trading and assigned business… more
- Partners Group (New York, NY)
- …credit and public markets activities with respect to developing and implementing compliance policies to support global trading desk activity including teams ... What it's about Partners Group's Compliance business unit is responsible for ensuring that...the firm from regulatory and reputational risks. The Regulatory Compliance team Americas manages the compliance program… more
- Marex (New York, NY)
- …services. For more information visit www.marex.com Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance ... bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including… 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
- Goldman Sachs, Inc. (Dallas, TX)
- …will satisfy the following criteria: At least 8+ years of work experience as a compliance officer or a risk management role Bachelor's degree or higher, graduate ... Job Description Global Compliance Our division prevents, detects and mitigates ...and professional backgrounds, such as law, accounting, sales, and trading . We look for those who possess sound judgment,… more
- JPMorgan Chase & Co. (New York, NY)
- …Description Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. ... customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...and striving to be best-in-class. As a Lead Credit Officer on the Banks and Broker Dealers team, you… more
- JPMorgan Chase & Co. (New York, NY)
- …treasury lines. Job Responsibilities Conduct credit analysis and facilitate senior credit officer approval of lending and trading related transactions, including ... expertise to JPMorganChase. As part of Risk Management and Compliance , you are at the center of keeping JPMorganChase...customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging… 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
- CIBC (New York, NY)
- …CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for performing important advisory, ... Swap Dealer Compliance program. The Swap Dealer Compliance Officer is primarily responsible for 1)...desk's daily business activities; and 6) monitoring sales and trading activities to ensure compliance with CIBC… 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
