- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...equity, listed options, margin trading, etc) and related SEC, FINRA , MSRB and other SRO rules and regulations +… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is committed to providing fair ... Description:** We are looking for a Director, US Markets Compliance Advisory to join our team in New York...with the ability to assess firm impact. Specifically, FED, FINRA , SEC, CFTC, NYSE, and OCC including Securities Act,… more
- 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
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair ... We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The...regulations with the ability to assess firm impact. Specifically, FINRA , SEC, Exchange Level SROs including NYSE, NASDAQ &… more
- Citigroup (New York, NY)
- …Citi program framework. **Responsibilities:** + Strong knowledge of and comfort with providing Compliance guidance in relation to applicable FINRA and SEC rules ... Serves as a senior function/business/product compliance risk officer covering North American Cash Equities...the franchise. In addition, engages across the various Markets Compliance product and function coverage teams, in order to… more
- SMBC (New York, NY)
- …a competitive portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory ... 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… more
- SMBC (New York, NY)
- …a competitive portfolio of benefits to its employees. **Role Description** The Head of Compliance Culture will oversee and lead the firm's Culture of Compliance ... + Lead the development and execution of the centralized culture of compliance program, including the creation and maintenance of the communication, awareness, and… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair ... We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The...with the ability to assess firm impact. Specifically, FED, FINRA , SEC, CFTC, NYSE, and OCC. + Excellent oral… more
- TD Bank (New York, NY)
- …in alignment with risk appetite + Ensures all products are in compliance and meet all regulatory requirements **Education & Experience:** + Undergraduate degree ... industry knowledge + Series 7, 24, 66 (or equivalent) FINRA Registrations + Experience with the wealth industry and...and priorities **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- SMBC (New York, NY)
- …**Role Description** Sumitomo Mitsui Banking Corporation (SMBC) is seeking a dynamic Compliance Policy Manager to join our Compliance Department Policies Team. ... stakeholders within the Americas Division (AD) to develop, communicate, and manage compliance policies that support our strategic objectives. You'll also lead key… more