- 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 ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is...for the markets advisory team with focus on the fixed income and municipal finance sales and trading business… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage...Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities.… more
- TD Bank (New York, NY)
- …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 ... you more specific details for this role. **Job Description:** The TDS US Compliance team is looking for Associate candidates to join the trade surveillance team.… more
- NatWest Markets (Stamford, CT)
- …business._ **Job Description** The Compliance Advisory Officer reporting to the Compliance Advisory Lead will serve as a Sales and Trading Compliance ... Conduct Risk Officer for the Legal and Compliance Department. As a member of the US Advisory...subject matter expertise on rules and regulations pertaining to fixed income sales and trading including but not limited… 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
- TD Bank (New York, NY)
- …TD Securities Compliance team is seeking a Director-level candidate to lead the Surveillance Data Quality Team. This is a global role, the incumbent ... 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
- New York University (New York, NY)
- …Background in grant-funded research environments. Additional Information: This is a one-year fixed -term position. In compliance with NYC's Pay Transparency Act, ... the RPPP evaluation ensuring standardized data collection, site communication, regulatory compliance , and reporting across all participating sites. In this role, the… more
- BMO Financial Group (New York, NY)
- …(CM ORR) group. As part of the Capital Markets Office of the Chief Operating Officer (CM OCOO), the CM ORR unit operates at a quick pace with exceptional quality ... & Resilience mandate. **Key Roles & Responsibilities:** **Operational Risk** **(90%) -** Lead the Operational Risk framework and program requirements for GM to… more
- BlackRock (New York, NY)
- …time. Our investment software combines risk analytics with portfolio management, trading, compliance , and operations tools on a single platform to power informed ... closely with the Client's senior management team (Chief Operational Officer , Heads of Trading and Heads of Desks) and...of the suite of Aladdin products and tools + Lead and assist in Aladdin configuration, testing and user… more