- 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 ... You!** USA Job Family Description: You will provide real-time compliance advisory support to the US Global...capacity. **Skills and Abilities** Experience in providing regulatory or compliance advise in connection with fixed income… 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 (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
- 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
- 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
- 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
- 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)
- …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)
- …Borrower and Bank Group + Report to Management, Supervisors and Account Officer all transactions that require special handling or approval Credit Arrangement ... projects, and assumes other duties, as assigned, completing such tasks on time. Compliance + Obtain a basic understanding of the applicable rules and regulations… more
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & ... reporting activities within the US and determine whether they are in compliance with governing regulations, internal policies, and procedures. The candidate will… more
- Mizuho Corporate Bank (New York, NY)
- …advise on interpretation of existing and proposed rules and regulations to inform a compliance strategy + Such other matters as requested by the manager of the ... Corporate and Technology Legal team and/or the Chief Legal Officer Minimum Job Experience or Requirements: + JD with bar admission in New York + At least five years… more