- 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 ... within the Fixed Income Sales & Trading Compliance Team is a Business Aligned Compliance Officer (BACO) who will serve as a team lead serving in a… 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
- 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
- Santander US (New York, NY)
- Compliance Officer - Markets Business Line...You!** USA Job Family Description: You will provide real-time compliance advisory support to the US Fixed ... bank. USA Job Function Description: You will provide real-time compliance advisory support to the US Fixed ...with the ability to effectively influence others and engage senior stakeholders and foster collaboration amongst Compliance ,… 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
- 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 ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities.… more
- Scotiabank (New York, NY)
- Senior Audit Manager, US Loan Review **Requisition ID:** 210150 **Salary Range:** 117.400,00 - 224.700,00 _Please note that the Salary Range shown is a guideline ... & 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
- Neuberger Berman (New York, NY)
- …: + Provide administrative coordination and compliance support to the Chief Compliance Officer and other senior members of the Legal and ... Neuberger Berman's Compliance team is seeking an Administrative Coordinator and...strong client service and ability to communicate effectively with senior leadership + Highly organized and detail oriented +… more
- BlackRock (New York, NY)
- … senior levels. **Your responsibilities:** + Collaborate closely with the Client's senior management team (eg Chief Investment Officer , Chief Risk Officer ... investment software combines risk analytics with portfolio management, trading, compliance , and operations tools on a single platform to...high profile initiatives that require team members to have senior level exposure and play an active role in… 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
- Scotiabank (New York, NY)
- …Partners across senior executives US CIO, Global CISO, Risk, Operations, compliance and legal teams to deliver improved US regulatory outcomes and strategies. + ... of systems or asset data and deliver monthly / quarterly reporting for senior management, Internal Controls, GRM, Compliance , Audit, Operational Risk or 1A… more
- HSBC (New York, NY)
- …to drive business performance and support management decision making. Works with senior management and finance partners to provide financial and technical analysis ... and forecasted financial position of CIB Banking and Coverage to support senior management decision making + Prepare materials for executive and management committee… more
- Mizuho Corporate Bank (New York, NY)
- …a global financial firm and will also work directly with the Deputy Chief Information Officer and the Chief Information Officer . OCIO is a nimble team in ... building, and can push processes forward, working on behalf of very senior executives and experienced team leads. Must maintain excellent organizational and… more
- Citigroup (Jersey City, NJ)
- …or related field and 8 years of progressively responsible, post-baccalaureate experience as a Compliance AML Core Senior Officer , Compliance AML ... appropriate accruals, client allocations, impact of capitalization, recovery and fixed price contracts to improve operational efficiency and productivity. Perform… more
- BMO Financial Group (New York, NY)
- …(CM ORR) group. As part of the Capital Markets Office of the Chief Operating Officer (CM OCOO), the CM ORR unit operates at a quick pace with exceptional quality ... requires the VP to interact directly with GM stakeholders, including senior executives, to methodically resolve non-financial risk management challenges across a… 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