- Marex (New York, NY)
- …For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide ... compliance advisory services primarily for Fixed Income securities, including corporate bonds, convertible bonds, agency bonds, municipal bonds, and US Treasuries… more
- BMO Financial Group (New York, NY)
- …- 3 days 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 ... are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of regulatory requirements… more
- 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 global ... compliance capacity. **Skills and Abilities** Experience in providing regulatory or compliance advise in connection with fixed income sales and trading… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business ... compliance experience, preferably in an advisory capacity. The Senior Manager will provide support to the overall Markets...objectives **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- JPMorgan Chase (New York, NY)
- …outside the box, challenging the status quo and striving to be best-in-class. As a Compliance Risk Management Senior Officer within the JPM Wealth Management ... In this role you will also focus on equities and fixed income trading Compliance matters. Job Responsibilities + Maintain policies and standards which set… more
- Marex (New York, NY)
- …more information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will ... provide compliance advisory services for Equities, Fixed Income, Listed Options, Structured Products trading activities as well as knowledge of various… more
- Scotiabank (New York, NY)
- …a team leader for Markets Compliance . **What You'll Do** + Acting as a senior compliance officer and Compliance team leader supporting Scotiabank US ... Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary...every future! **Purpose** In this role, you will provide senior compliance support for the Scotiabank US… more
- Raymond James Financial, Inc. (New York, NY)
- …the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive ... a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the...+ Serve as an integral member of the RJF Compliance Senior Leadership Team, shaping compliance… more
- Citigroup (New York, NY)
- …transfers, journals, stock transfers, account maintenance, capital call notices, fixed income maturities, settled free cash, reorganization notices, performance ... follow-up with clients and bankers + Help support the senior members of the investment team in their delivery...and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to… more
- Scotiabank (New York, NY)
- …Capital USA ("SCUSA") Futures Commission Merchant ("FCM"), and Security-Based Swap Dealer Chief Compliance Officer in: + the business as usual execution of the ... Senior Manager, Swap Dealer and Derivatives Compliance...acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious… more
- Scotiabank (New York, NY)
- …work together to drive ambition for every future! **Purpose** Seeking a detail-oriented Senior Audit Manager who is seasoned Compliance Auditor with significant ... Senior Audit Manager, Audit Department **Requisition ID:** 229979...acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious… more
- TD Bank (New York, NY)
- …for your business area/function and the bank, both internally and/or externally The Senior Compliance Office provides advice, guidance and support to business ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $150,000 USD TD is...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- Marotta Controls, Inc. (Parsippany, NJ)
- …Contracts & Compliance Specialist Overview: This position reports to the Senior Manager, Export Control and is responsible for the execution, enforcement, and ... enhancement of export compliance , contracts, and security requirements and procedures relative to...etc.) + Function as the assistant FSO (Facility Security Officer ), including: monitoring foreign national visitors to Marotta Controls,… more
- TD Bank (New York, NY)
- …Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $250,000 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
- HSBC (New York, NY)
- …at HSBC is structured as a global function, headed up by the Chief Model Risk Officer (CMRO). MRM are the second line of defense (2LoD) for Model Risk and the CMRO ... Policies and Procedures. + Provide model users, model owners, senior management, audit, and regulators (across 1LOD, 2LOD, 3LOD)...a pay range between $171,700.00 and $257,500.00 The final fixed pay offer will depend on the candidate and… 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 ... time. Our investment software combines risk analytics with portfolio management, trading, compliance , and operations tools on a single platform to power informed… 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