- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... Plan in line with below responsibilities: + Provide Compliance Advisory services to broker -dealer business lines....Ability to project confidence and professionalism in dealings with senior business personnel. + Ability to make, support and… more
- Marex (New York, NY)
- …services. For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will ... Plan in line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer...Ability to project confidence and professionalism in dealings with senior business personnel. + Ability to make, support and… more
- Zurich NA (New York, NY)
- AVP Underwriting Officer OR VP, Senior Underwriting Officer 120961 What can go right when you can grow your career? Now is the time to move forward and make ... to submit your talent referral.** Zurich is currently looking for a Surety AVP Underwriting Officer OR VP, Senior Underwriting Officer to work out of… more
- BMO Financial Group (New York, NY)
- …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 ... and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of… 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
- 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 ... communication skills, with the ability to effectively influence others and engage senior stakeholders and foster collaboration amongst Compliance , the business… more
- Wells Fargo (New York, NY)
- …Join us! **About this role:** Wells Fargo is seeking a Lead Control Management Officer within FICC Trade Surveillance. Learn more about our career areas and lines of ... Securities Operations that support Wells Fargo Securities (WFS LLC) and regional broker dealers, derivative operations that support its Swap Dealer (WFBNA) including… more
- Citigroup (New York, NY)
- Citibank, NA seeks a Treasury Risk Officer for its New York, New York location. Duties: Design and conduct independent assessment of liquidity risks metrics inflows ... responsiveness to changes in the regulatory environment and ensure regulatory compliance . Produce presentation materials and present analysis to management and… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- Deloitte (New York, NY)
- …+ Foreign equivalent of the above certifications + CUSICO (Certified US Import Compliance Officer + Professional Accreditation in EU Customs Law (post masters) ... world in our world! What you'll do As a Senior Manager on our Global Trade Advisory team, you...technologies. Responsibilities will include: + Helping companies manage global compliance requirements and realize efficiencies in their global supply… more
- Deloitte (New York, NY)
- …+ Foreign equivalent of the above certifications + CUSICO (Certified US Import Compliance Officer ) + Professional Accreditation in EU Customs Law (post masters) ... on May 31, 2026. What you'll do As a Senior Consultant on our Global Trade Advisory team, you...Responsibilities include: + Helping importers and exporters achieve worldwide compliance and realize efficiencies in their global supply chain.… more
- Deloitte (New York, NY)
- …+ Foreign equivalent of the above certifications + CUSICO (Certified US Import Compliance Officer ) + Professional Accreditation in EU Customs Law (post masters) ... US and foreign multinational companies on global import and export strategies, compliance , and trade automation. Our team focuses on advising, implementing and… more
- TD Bank (New York, NY)
- …your recruiter who can provide you more specific details for this role. **Job Description:** This Compliance Officer is a key member of the TDS US Compliance ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...or more years of experience with a registered US broker dealer, regulator, or global financial organization. + JD… more
- Citizens (New York, NY)
- …senior -level role within the Compliance Department, reporting to the Chief Compliance Officer . This individual will be the firmwide subject matter expert ... Maintenance of Form BD in collaboration with the Chief Compliance Officer + Exam window management and... teams + Be visible, proactive, and collaborative with senior management, supervisors, your Compliance team, and… more
- Bank of America (New York, NY)
- …including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer (CFO) Group, we also ... points of view, including appropriate escalation and communication to Senior Management + Conduct and document risk's acceptance and...across all scenarios + Lead EFR coverage of SEC broker dealer net capital rules and CFTC swap dealer… 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 ... with senior traders + Familiarity with Execution Management Systems, Broker /Dealers, Dark Pools and other ECNs + Superior communication and presentation skills,… 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