- 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 providing fair ... specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… 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...at a global financial institution. + Firm understanding of securities and derivatives rules and regulations, and the ability… more
- S&P Global (New York, NY)
- …executive compensation, compensation, health, benefits, and pensions. **Responsibilities:** + Ensure compliance with public company and securities law matters. + ... Secretary, and will lead a team of three attorneys, including securities , executive compensation, and benefits counsels. **Responsibilities and Impact:** The… 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 ... regulators such as FINRA, NFA, CFTC and FRB. The Compliance Officer role may manage a coverage...**Role Objectives** + Provide regulatory advice and oversight of compliance with expertise in US securities , swaps… more
- Marex (New York, NY)
- …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 ... regulatory reporting requirements. The position will primarily focus on providing real-time compliance advisory services and serve as the subject matter expert to… more
- Marex (New York, NY)
- … Compliance Officer - Fixed Income Advisory will provide compliance advisory services primarily for Fixed Income securities , including corporate bonds, ... bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including… 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 ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...the compliance program at an asset management firm in Manhattan,… more
- Scotiabank (New York, NY)
- Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00 - 301,500.00 _Please note that the Salary Range shown is a guideline ... . **What You'll Do** + Acting as a senior compliance officer and Compliance team...applicability and impact of laws and regulations for specific securities sales and trading businesses, and evaluate the impact… 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 ... services for Marex's registered Swap Dealer (Marex Derivative Products, "MDP") and Securities -Based Swap Dealer (Marex Securities Products, "MSP") and have a… more
Recent Jobs
-
ESY Summer School - Substitute Special Education Aide(s)
- Riverhead Central School District (Riverhead, NY)