- Marex (New York, NY)
- …(http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services ... to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practices. In addition, this individual will be… more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide compliance advisory services ... to resolving issues with consideration to regulatory requirements, regulatory and firm risk and industry best practices. In addition, this individual will be… more
- BMO Financial Group (New York, NY)
- …and maintain current knowledge of regulatory requirements and developments, monitoring risk /trade surveillance , and identifying and corrects possible gaps and ... and administration of the Fixed Income compliance program. Coordinate and performs risk assessment, monitoring, testing and surveillance activities to ensure… more
- University of Rochester (Rochester, NY)
- …and secure, working in partnership with our sworn Peace Officers. SUPERVISION AND DIRECTION EXERCISED:NoneMACHINES AND EQUIPMENT USED:Two-way radio, mobile computer ... ensure compliance with state and federal laws.Inspects the scenes of surveillance , criminal activity, serious motor vehicle accidents, major injuries, suspicious… more
- Citigroup (New York, NY)
- The Business Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering ... this may include but is not limited to email surveillance , correspondence, marketing material, complaints, outside activities, licensing/registration, trade… more