- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... Plan in line with below responsibilities: + Provide Compliance Advisory services to broker -dealer business lines....Ability to project confidence and professionalism in dealings with senior business personnel. + Ability to make, support and… more
- Marex (New York, NY)
- …services. For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will ... Plan in line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer...Ability to project confidence and professionalism in dealings with senior business personnel. + Ability to make, support and… more
- Zurich NA (Parsippany, NJ)
- AVP Underwriting Officer OR VP, Senior Underwriting Officer 120961 What can go right when you can grow your career? Now is the time to move forward and make ... to submit your talent referral.** Zurich is currently looking for a Surety AVP Underwriting Officer OR VP, Senior Underwriting Officer to work out of… more
- BMO Financial Group (New York, NY)
- …in the office each week is the expectation Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker -dealer ... and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business units ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is...functions **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- Wells Fargo (New York, NY)
- …Join us! **About this role:** Wells Fargo is seeking a Lead Control Management Officer within FICC Trade Surveillance. Learn more about our career areas and lines of ... Securities Operations that support Wells Fargo Securities (WFS LLC) and regional broker dealers, derivative operations that support its Swap Dealer (WFBNA) including… more
- Citigroup (New York, NY)
- Citibank, NA seeks a Treasury Risk Officer for its New York, New York location. Duties: Design and conduct independent assessment of liquidity risks metrics inflows ... responsiveness to changes in the regulatory environment and ensure regulatory compliance . Produce presentation materials and present analysis to management and… more
- Deloitte (Jersey City, NJ)
- …+ Foreign equivalent of the above certifications + CUSICO (Certified US Import Compliance Officer + Professional Accreditation in EU Customs Law (post masters) ... world in our world! What you'll do As a Senior Manager on our Global Trade Advisory team, you...technologies. Responsibilities will include: + Helping companies manage global compliance requirements and realize efficiencies in their global supply… more
- Deloitte (Jersey City, NJ)
- …+ Foreign equivalent of the above certifications + CUSICO (Certified US Import Compliance Officer ) + Professional Accreditation in EU Customs Law (post masters) ... on May 31, 2026. What you'll do As a Senior Consultant on our Global Trade Advisory team, you...Responsibilities include: + Helping importers and exporters achieve worldwide compliance and realize efficiencies in their global supply chain.… more
- Deloitte (Morristown, NJ)
- …+ Foreign equivalent of the above certifications + CUSICO (Certified US Import Compliance Officer ) + Professional Accreditation in EU Customs Law (post masters) ... US and foreign multinational companies on global import and export strategies, compliance , and trade automation. Our team focuses on advising, implementing and… more
- Bank of America (New York, NY)
- …including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer (CFO) Group, we also ... points of view, including appropriate escalation and communication to Senior Management + Conduct and document risk's acceptance and...across all scenarios + Lead EFR coverage of SEC broker dealer net capital rules and CFTC swap dealer… more
- BlackRock (New York, NY)
- …and post-trade trade charges, fees and TCA + Collaborate closely with the Client's senior management team (Chief Operational Officer , Heads of Trading and Heads ... with senior traders + Familiarity with Execution Management Systems, Broker /Dealers, Dark Pools and other ECNs + Superior communication and presentation skills,… 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