- Scotiabank (New York, NY)
- Compliance Testing Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 117,400.00 - 224,700.00 _Please note that ... to the overall success of GBM&T Compliance Testing team and Swap Dealer and Derivatives Compliance ensuring specific individual goals, plans, initiatives are… more
- Ally (Albany, NY)
- …so shouldn't your opportunities be, too? **The Opportunity** The Ally Auto Dealer Training Team/Ally Academy supports Ally's core Auto Finance business by providing ... virtual and in-person instructor-led training to our dealer customers nationwide. We are seeking an automotive professional to join our team as an L&D Senior … more
- 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, ... training, surveillance and analytical functions to support CIBC's Swap Dealer Compliance program. The Swap Dealer Compliance Officer is primarily responsible for… more
- BMO Financial Group (New York, NY)
- …Capital Markets Compliance team is hiring for a CCO of it's two US broker- dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool Execution ... Services, LLC (CES). The broker- dealer CCO would manage the implementation, maintenance and administration...to monitor regulatory compliance programs. + Advises and influences senior leaders on managing regulatory risk associated related to… more
- SMBC (New York, NY)
- …to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance Officer as either ... or processes under the oversight of one or more senior team members. Incumbents are typically developing subject matter...of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities laws… more
- Mizuho Corporate Bank (New York, NY)
- …and industry best practices. (2) communicate observations and enhancement opportunities to senior management as well as other key stakeholders such as r egulatory ... expertise in various regulatory reporting , especially for broker dealer regulatory reports , as well as experience in...and participate in other departmental projects as assigned by senior management Qualifications: + Bachelor's degree + CPA or… more
- 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 compliance ... line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or assist in completing US Broker Dealer… more
- MUFG (New York, NY)
- …team will provide more details. **Summary:** We are seeking a highly experienced senior settlement system support specialist to serve as the technical bridge between ... our operations teams and the underlying technology that powers our broker dealer settlement engine. The role demands deep expertise in trade flows, securities… more
- Amazon (New York, NY)
- …player in shaping the future of the automotive industry. We are seeking a Senior Manager, Business Development (SMBD) to lead a team of experienced salespeople to ... engage top tier automotive dealer groups for strategic partnerships. The SMBD will continuously...key stakeholders, including sellers, account managers, product teams, and senior leadership. The SBDM will influence and build relationships… more
- US Bank (New York, NY)
- …support functions, such as Risk, Compliance and Regulatory Services + Work with senior leadership within the business line and advises on regulatory and risk ... supporting capital markets products + Experience with securities laws and broker- dealer regulatory matters + Experience with corporate finance, in particular the… more
Recent Jobs
-
Youth Soccer Coach & Development Coordinator - Year Round
- Super Soccer Stars Coaching (Novato, CA)
-
Clinical Director of Nursing - Surgery Center
- HCA Healthcare (Houston, TX)
-
Driver - Milwaukee Service Center
- Enterprise Mobility (Milwaukee, WI)
-
Senior Specialist, Marketing Automation
- HUB International (Chicago, IL)