- PNC (New York, NY)
- …have an opportunity to contribute to the company's success. As Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will join PNC's ... remotely, at manager's discretion. As a Compliance Program Specialist Senior within the Swap Dealer Compliance team, you will monitor and test activity related… more
- 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
- 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 ... in line with below responsibilities: + Provide Compliance Advisory services to broker- dealer business lines. + Complete or assist in completing broker- dealer … more
- BMO Financial Group (New York, NY)
- Our ideal candidate has FINRA examiner background with broker dealer experience including SEC 15c3 experience, possessing a strong understanding of broker dealer ... operations and SEC/FINRA regulations. This individual should have dealt with trading intricacies, showcasing a comprehensive grasp of the industry. Develops or maintains an effective financial governance and controls framework that defines the ways and methods… more
- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker- Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker- Dealer funding, ... requirements within the Treasury organization. **Team Description:** The Global Broker- Dealer Legal Entity Treasury team within the Global Treasury organization,… 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
- TD Bank (New York, NY)
- …colleagues dedicated to setting new industry standards. **Job Summary:** The Senior Compliance Business Oversight Analyst provides objective guidance, support and ... professional judgment and discretion in interacting and communicating with staff and senior management of the Bank with respect to significant regulatory compliance… more
- 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 ... (Corporate Bonds, Loan and Distressed, Credit Derivatives), Rates (Primary Dealer : Treasury, Agency and Repurchase Agreements), Structured Products Group (Structured… more
- TD Bank (New York, NY)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The Senior Wealth Lending Advisor is responsible for business development and relationship ... TD Ameritrade Institutional and Retail [consumer only] platforms. The Senior Wealth Lending Advisor is at the center of...1007; and is with a FINRA member, broker or dealer and is subject to the requirements of FINRA… more
- BMO Financial Group (New York, NY)
- …Income Compliance team in New York with a focus on FINRA and SEC broker- dealer requirements and corresponding oversight. We are looking for someone to work closely ... knowledge of multiple FICC market activities preferred including: Primary Dealer , GSEs, Trade reporting (TRACE), communications, supervision, best execution/order… more