• Deputy Chief Compliance and Risk…

    HUB International (New York, NY)
    …investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a highly visible, senior leadership ... position, reporting directly into the Global/Executive Chief Compliance and Risk Officer , working closely with...in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means… more
    HUB International (08/21/25)
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  • SVP, Capital Markets Chief Compliance…

    Raymond James Financial, Inc. (New York, NY)
    …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision ... of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic… more
    Raymond James Financial, Inc. (09/01/25)
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  • Executive Director, Swap Dealer Compliance…

    CIBC (New York, NY)
    …CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for performing important advisory, ... Swap Dealer Compliance program. The Swap Dealer Compliance Officer is primarily responsible for 1)...Experience as a regulatory examiner with SEC, NFA or FINRA (NFA or SEC Examiner of Swap Dealers a… more
    CIBC (08/28/25)
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  • Senior Compliance Officer - Fixed…

    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 ... bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including… more
    Marex (08/07/25)
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  • Product Compliance Senior Officer…

    Citigroup (New York, NY)
    Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is responsible ... **Responsibilities:** + Strong knowledge of and comfort with providing Compliance guidance in relation to applicable FINRA ...providing Compliance guidance in relation to applicable FINRA and SEC rules including REG SHO, 5320, Reg… more
    Citigroup (07/26/25)
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  • Senior Compliance Officer - Fixed…

    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
    BMO Financial Group (08/09/25)
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  • Director, Securitized Products & Capital Solutions…

    SMBC (New York, NY)
    …**Role Description** The Securitized Products and Capital Solutions Business Control Officer is primarily an individual contributor. The Securitized Products and ... the Coverage and Capital Markets/Structured Finance Solutions Vertical Business Control Officer . **Role Responsibilities** * Leads and provides expert guidance on… more
    SMBC (07/31/25)
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  • Risk & Control Officer

    MUFG (New York, NY)
    …A member of our recruitment team will provide more details. Risk and control officer will be responsible for assisting with the duties of the BURM (Business Unit ... of issues and partner with stakeholders in opening issues (Audit/ Compliance /Management Identified)Completing Issue Closure TemplatesAcquiring the necessary management approvalsScheduling… more
    MUFG (07/12/25)
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  • Credit Officer / LATAM Corporates

    SMBC (New York, NY)
    …of benefits to its employees. **Role Description** + The Director-Credit Officer 's main responsibility entails the review and challenge of credit applications ... Provide feedback and guidance, as necessary, to business units to ensure compliance with internal policies and procedures standards. + Monitor and supervise problem… more
    SMBC (08/08/25)
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  • Credit Officer / LBO

    SMBC (New York, NY)
    …to its employees. **Role Description** SMBC is seeking a Vice President / Credit Officer to cover Middle Market LBO. + Review and challenge of credit applications ... Provide feedback and guidance, as necessary, to business units to ensure compliance with internal policies and procedures standards. + Monitor and supervise problem… more
    SMBC (07/12/25)
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