- Scotiabank (New York, NY)
- …and procedures. + Proactively identify issues and participate in remediation and regulatory change initiatives and provide regular updates to relevant ... Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00 -...a full range of investment banking, credit and risk management products and services relevant to the financing and… more
- KeyBank (NY)
- …second line of defense Compliance Risk Management function, the Complaint's Management Compliance Officer is responsible for helping to execute a robust ... challenge of complaints, policies, procedures, training program content, issues management , implementation of regulatory changes, reporting routines (executive,… more
- Marex (New York, NY)
- …+ Complete or assist in completing broker-dealer guidance, related to business change proposals, for management review. + Manage broker-dealer Business Line ... (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services… more
- Marex (New York, NY)
- … inquiries. + Complete or assist in completing US Broker Dealer BCAC (Business Change Approval Committee ()guidance for management review + Manage US Broker ... visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance advisory services… more
- Raymond James Financial, Inc. (New York, NY)
- …accuracy and effectiveness of risk information. . Ensures the business risk management practices comply with regulatory requirements and industry best practices. ... . Establishes and oversees the implementation of a risk management framework for the business unit, to include defining...needs of a growing organization. . Acts as a change agent within a transforming environment, setting strategic direction… more
- CDM Smith (Buffalo, NY)
- …and management of financial actions. **Job Title:** Chief Financial Officer (CFO), Executive Vice President **Group:** COR **Employment Type:** Regular **Minimum ... employee-owned firm) is seeking a strategic, hands-on, and results-driven Chief Financial Officer (CFO) to lead our global financial operations. The CFO will be… more
- TD Bank (New York, NY)
- …firm + Contribute, as needed, to annual compliance training requirements and regulatory change impact assessments **Education & Experience:** + Bachelors degree ... this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US...detail, solid judgment, and the ability to evaluate complex regulatory business issues. + Project management skills… more
- Raymond James Financial, Inc. (New York, NY)
- …acumen + Excellent written and verbal communication skills + Strong leadership, change management , and stakeholder engagement capabilities + Skilled in ... As the Vice President, Sanctions Officer , you will be the strategic and operational...proactive risk-based initiatives to protect the firm from legal, regulatory , and reputational risk. This role sits at the… more
- KeyBank (NY)
- …LOB senior management . - Maintain relationships with industry peers and regulatory bodies. - Escalates promptly to appropriate senior management or ... **Location:** 4900 Tiedeman Road, Brooklyn Ohio The Operational Risk Officer position resides in the 2nd Line of Defense...the 2nd Line of Defense within KeyCorp's Operational Risk Management group and will be responsible for executing risk… more
- 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 for ... violations of law, rule, or regulation and design and delivery of a risk management framework that maintains risk levels within the firm's risk appetite and protects… more