- 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
- Wells Fargo (New York, NY)
- …empowered to grow. Join us! **About this role:** Wells Fargo is seeking a Lead Control Management Officer within FICC Trade Surveillance. Learn more about our ... FICC Trade Surveillance + Manage key relationships with Business Heads, Desk Heads, Compliance , COO and CIB Control for Rates + Represent Trade Surveillance on… 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
- Citizens (New York, NY)
- …a senior-level role within the Compliance Department, reporting to the Chief Compliance Officer . This individual will be the firmwide subject matter expert ... execution across Investment Banking, Mergers & Acquisitions, Equity and Fixed Income Sales & Trading, Research, Corporate Access, and...Maintenance of Form BD in collaboration with the Chief Compliance Officer + Exam window management and… 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
- Scotiabank (New York, NY)
- …& acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & ... Act and OFAC regulations, guidance, and regulatory expectations. The candidate will lead AML audits to assess the design and operating effectiveness of internal… 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