- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Compliance Officer - Swap Advisory who will provide compliance ... Annual Compliance Plan in line with below responsibilities: + Provide Compliance Advisory services to US Swap Dealer business lines. + Complete or… 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...The ideal candidate will have experience with broker-dealer and swap dealer rules and regulations and providing compliance… more
- SMBC (New York, NY)
- …the management of compliance risk. Advisory is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory...regulators such as FINRA, NFA, CFTC and FRB. The Compliance Officer role may manage a coverage… more