- 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 ... Job Family Description: You will provide real-time compliance advisory support to the US Fixed Income & Currencies sales and trading business which focus on… more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance ... municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory...and Experience + Ten (10+) plus years of securities advisory experience supporting fixed income. Knowledge of… more
- TD Bank (New York, NY)
- …**Responsibilities:** + Provide compliance advisory coverage for the markets advisory team with focus on the fixed income and municipal finance sales ... specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support...Senior Manager will provide support to the overall Markets Advisory Compliance team helping with large projects… 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 ... compliance advisory services for Equities, Fixed Income, Listed Options, Structured Products trading activities as...requirements. The position will primarily focus on providing real-time compliance advisory services and serve as the… more
- Scotiabank (Houston, TX)
- …businesses. The Compliance Officer will serve as (1) primary compliance advisory coverage for Scotiabank's Houston based Corporate & Investment Banking ... Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary...operate as a member of the CIB & Research Compliance Advisory team which provides compliance… 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...in relevant business forums and internal meetings. + Provide compliance support for equities and fixed income… more
- NatWest Markets (Stamford, CT)
- …to ensure the proper operations of the department and the business._ **Job Description** The Compliance Advisory Officer reporting to the Compliance ... US Advisory Compliance team, the Compliance Advisory Officer will support...subject matter expertise on rules and regulations pertaining to fixed income sales and trading including but not limited… more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join their team in New York. The role ... UAT Review of new scenarios. + Provide Surveillance expertise to BD and FCM Advisory Compliance , adding context and counsel to the objective response. +… more
- Citigroup (Jersey City, NJ)
- Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal ... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice… 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 ... Investment Advisory Program and client-directed accounts, to affluent individuals and...servicing, and client account maintenance. Process money market transfers, fixed income, mutual fund, and equity trades and provide… more
- Mizuho Corporate Bank (New York, NY)
- …and implication in the onboarding process + Understand policy changes socialized by Compliance and implications to the onboarding process + Manage end to end ... acquisition of Greenhill, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas employs… more
- SMBC (New York, NY)
- … risk assessment exercise. **Qualifications and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or ... portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- Aegon Asset Management (Cedar Rapids, IA)
- …for a Director of Compliance . This position will report to TFA's Chief Compliance Officer (CCO). The candidate will support the CCO in managing the ... effective remediation plans. Job Description Responsibilities + Advising the Chief Compliance Officer of potential regulatory risks, gaps, and vulnerabilities;… more
- TD Bank (New York, NY)
- …as the support functions including Technology and Operations * Build relationships with Compliance Advisory team by working closely with them on regulatory ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $150,000 USD TD is committed to providing fair… more
- Ventura County (Ventura, CA)
- …recording of legal notices, hearings, and educating the public to facilitate compliance . + Develops plans, policies, standards, and procedures. + Supervises the ... preparation of grant applications, securing revenue from all available resources; ensures compliance with regulations related to the expenditure of state and federal… 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
- Ventura County (Ventura, CA)
- …will be used to fill current and future Regular (including Temporary and Fixed -term), Intermittent, or Extra Help for this and similar vacancies within the County ... Economic Interest/Form 700 where the Clerk of the Board is the Filing Officer ; following Fair Political Practices Commission (FPPC) regulations, on all Form 700's… more
- TD Bank (New York, NY)
- …across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory Compliance , and Risk functions. The incumbent provides strategic ... Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office...(eg, Behavox). + Deep understanding of trading in equities, fixed income, FX, and derivatives markets, as well as… 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 ... calendars, shared mailboxes, distribution lists + Monitor adherence to training and compliance initiatives + Assist with staff engagement activities and events for… more
- EMCOR Group (Baltimore, MD)
- …financial statements and assistance with financial reporting to the Chief Financial Officer . The Senior Accountant shall assist the Chief Financial Officer ... Board, the Securities and Exchange Commission, and other regulatory and advisory organizations and in accordance with industry financial management techniques and… more