- 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
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join their team in New York. The role ... UAT Review of new scenarios. + Provide Surveillance expertise to BD and FCM Advisory Compliance , adding context and counsel to the objective response. +… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform ... the United States. **Responsibilities:** + Key advisor to business groups (Investment Banking Advisory and Capital Markets) as well as Legal and Compliance … 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)
- …a global financial firm and will also work directly with the Deputy Chief Information Officer and the Chief Information Officer . OCIO is a nimble team in ... calendars, shared mailboxes, distribution lists + Monitor adherence to training and compliance initiatives + Assist with staff engagement activities and events for… 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