- Santander US (New York, NY)
- Compliance Officer - Markets Business Line Advisory Compliance Country: United States of America **Your Journey Starts Here:** Santander is a global ... securities laws/regulations; draft, update and implement relevant policies/procedures; Provide regulatory/ compliance training; assist the Business in implementing… more
- Wells Fargo (New York, NY)
- …3rd party compliance programs. + Business Aligned Compliance Officer (BACO) for the Cross-Asset Sales and Market Strategy Groups, with the Structured ... Compliance .** As the Lead Compliance Officer , you will support the business aligned...accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to join the CIB Fixed Income Business Aligned Compliance Team. This role ... Sales & Trading Compliance Team is a Business Aligned Compliance Officer (BACO)...Income Compliance covers the following Lines of Business within the Markets Division: Credit (Corporate… more
- Citigroup (New York, NY)
- Serves as a function/ business /product compliance risk officer as a **Senior VP for Equities Independent Compliance Risk Management (ICRM)** responsible ... on the programs. + Serving as a subject matter expert on Citi's Compliance programs. Provides expert guidance on function/ business /product regulations on a… more
- Citigroup (New York, NY)
- Serves as a senior function/ business /product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... procedures. This role is in support of the Chief Compliance Officer (CCO) of the Futures Commission...+ Serving as a subject matter expert on Citi's Compliance programs. Provides expert guidance on function/ business /product… more
- Citigroup (Jersey City, NJ)
- Serves as a function/ business /product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal ... monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/ business /product...to business groups (IB Advisory and Capital Markets ) as well as Legal and Compliance … more
- Scotiabank (New York, NY)
- Director, Markets Compliance Officer **Requisition... Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a ... Trading businesses by acting as a team leader for Markets Compliance . **What You'll Do** + Acting.... **What You'll Do** + Acting as a senior compliance officer and Compliance team… more
- TD Bank (New York, NY)
- …more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in adhering ... York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $125,000 - $140,000...The Senior Manager will provide support to the overall Markets Advisory Compliance team helping with large… more
- Citigroup (Jersey City, NJ)
- … compliance training resources and tools available centrally to support country/ business compliance programs training and research needs. + Additional duties ... Serves as a compliance testing officer for Independent ...relationships within CIA function and with other stakeholders including Business process owners and Internal Audit function. + Identifying… more
- Bank of America (New York, NY)
- Vice President - Global Markets Credit Commodities Credit Officer Charlotte, North Carolina;Dallas, Texas; New York, New York; Houston, Texas **Job ... evaluation of Problem Assets, some limit approval authority and reporting of capital markets credit risk. The Credit Officer will primarily interface with the… more
- Citigroup (New York, NY)
- …America Rates Trading business is a significant component of a global markets franchise providing interest rate market -making and solutions to customers. The ... Opening is for a Market Risk Officer focused on North...to be accountable for the identification and evaluation of market risks generated by the NA Rates business… more
- Citigroup (New York, NY)
- Citibank, NA seeks a Market Risk Senior Officer I for its New York, New York location. Duties: Identify and evaluate market risks associated with the Latin ... experience. 5 years of experience must include: Analyzing global financial markets , market risk, and financial models; Performing statistical analysis… 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 ... clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's...regulators such as FINRA, NFA, CFTC and FRB. The Compliance Officer role may manage a coverage… more
- SMBC (Jersey City, NJ)
- …and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in ... Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing...the current compensation paid in their geography and the market for similar roles at the time of hire.… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $100,000 - $140,000...working with regional testing teams across the globe. This Compliance Officer will also support other aspects… more
- SMBC (New York, NY)
- …to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of ... clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's...procedures. + Develop and execute monitoring and testing of business activities, including the annual compliance program… more
- TD Bank (New York, NY)
- …: New York, New York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $100,000 - $140,000 USD TD is committed to ... Compliance Office provides advice, guidance and support to business units in adhering to regulatory/ compliance requirements...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- TD Bank (New York, NY)
- …: New York, New York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $100,000 - $140,000 USD TD is committed to ... Compliance Office provides advice, guidance and support to business units in adhering to regulatory/ compliance requirements...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- Citigroup (New York, NY)
- Citi's US Commercial Bank (CCB) is a rapidly growing business , targeting emerging, mid- and larger-sized companies with annual revenue generally from $100 million to ... wholesale lending activities, Commercial Lending Management (CLM) serves as an in- business credit function organized around our strategic industries and global… more
- Amalgamated Bank (New York, NY)
- Amalgamated Bank is seeking a Testing Compliance Officer to assist the Compliance Officers to ensure the Bank's loan, deposit products and services maintain ... deposit, and loan servicing regulations. 3. Collaborate with Chief Compliance Officer in executing the Bank's ...many factors, such as: training, transferrable skills, work experience, business needs and market demands. The base… more