- 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 ... securities laws/regulations; draft, update and implement relevant policies/procedures; Provide regulatory/ compliance training; assist the Business in implementing… 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 - Credit Risk Officer , Global Markets Credit New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to help ... knowledge and credit skills are necessary. The role sits within the Global Markets Credit ("GMC") group within the Enterprise Credit organization. Global Markets … more
- Marex (New York, NY)
- …to gain exposure to a wider range of compliance activities at a market -leading firm. Marex has unique access across markets with significant share globally ... Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join their team in...objective response. + Communicate and coordinate with colleagues in Compliance and the business to ensure efficacious… 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
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Compliance Officer - Swap Advisory who will provide compliance ... compliance advisory services to the MDP and MSP business units as well as Compliance teams...A curiosity and interest in learning about new products, business , and markets . Skills and Experience +… 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
- 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
- Citigroup (New York, NY)
- The Treasury Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their ... application in own job and the business . Recognized technical authority for an area...the reporting and analysis of interest rate and other market risks. + Conducts daily, weekly, and or monthly… more
- Bloomberg (New York, NY)
- …Risk and Compliance Shared Services team. **What's The Role?** As the Risk and Compliance Policy Officer , you will work with the Chief Risk Office and Global ... Compliance teams, as well as key business ...especially in Europe, Asia or USA + Familiaritywith financial markets and products including trading platform and operations **If… more
- Bloomberg (New York, NY)
- …with the Global Regulatory Engagement Lead, the Chief Risk Office and Global Compliance teams, and key Business colleagues. Your expertise will be instrumental ... It's up to you to make it happen. **Our Team:** Bloomberg's Risk and Compliance Departments play a critical role in supporting our businesses and operations around… more