- FalconX (New York, NY)
- …growing and learning collaboratively. Impact We are seeking an experienced Global Chief Compliance Officer to lead our distributed, global compliance team. ... other derivatives Must be initiative-taking, flexible, innovative and adaptive Prior Head of Compliance or Chief Compliance Officer experience in finance,… more
- ThinkMarkets (Chicago, IL)
- ThinkMarkets is a global fintech leader, dedicated to revolutionizing the trading industry with cutting-edge, high-performance solutions. We specialize in providing ... multi-asset trading platforms that empower thousands of clients worldwide to...of their hand. Position Overview: As the Chief Technology Officer (CTO), you will be responsible for leading the… more
- FutureRecruit (Glenview, IL)
- Chief Compliance Officer (Hybrid)- Full Time Location: Glenview, IL, 60025 What you will be doing: Lead with Vision: Inspire and manage a talented team of ... compliance professionals, fostering a culture of excellence and continuous...products. Top Reasons to work with our client: Innovative trading platform! Supportive team culture! Career advancement opportunities! Focus… more
- LIFE SURGE LLC (Palmetto, FL)
- Job Title: Chief Technology Officer - CTO Employment Type : Full Time, 40 hours/week Reports to: Chief Operating Officer FLSA Status: Exempt Position Type : ... tech-driven future, we are seeking a visionary Chief Technology Officer (CTO) to architect and execute the next phase...suite, such as but not limited to: Trade Surge ( trading and investing platform) Deal Surge (real estate investment… more
- Brookfield Renewable (New York, NY)
- …VP of regulatory affairs and Chief Risk Officer in managing regulatory compliance for trading activities and FERC matters. Manage and execute project level ... of the business, with a focus on commercial contracting and energy trading . Responsibilities Provide legal advice on Brookfield Renewable's US hydroelectric, wind,… more
- Goldman Sachs, Inc. (Dallas, TX)
- …following criteria: At least 5 years of work experience including 3 years as a compliance officer or in a risk management or control function role Knowledge of ... 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
- Ares Management Corporation (New York, NY)
- … compliance and ethics program. Under the leadership of the Global Chief Compliance Officer , the Compliance Department is comprised of functionally ... regulatory reporting, and administers the Code; Control Room, Conflicts and Trading , which oversees the regulations and guidelines applicable to trade surveillance,… more
- Veterans Sourcing Group (New York, NY)
- …grids Experience with specialized lending products (eg Securitization, Project Finance, Loan Trading , etc) Experience with compliance in a lending area ... to initial funding and closing Report to Management, Supervisors and Account Officer all transactions that require special handling or approval Credit Arrangement… 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
- 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 ... 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
- 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
- CalSTRS (Sacramento, CA)
- …Investments Branch is seeking an experienced individual to work as an Investment Officer III (IO III) on the Investment Compliance team. CalSTRS Investment ... Job Posting: Investment Officer III State Teachers' Retirement System JC-484406 -...of two units: Investment Performance & Analytics and Investment Compliance . Investment Performance & Analytics ensures data accuracy through… 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
