- Citigroup (New York, NY)
- …the E-Trading limits management system. + Lead reviews by global banking and securities regulators, Compliance testing, and Internal Audit of E-Trading business, ... governance meetings. The role also requires relevant experience in ensuring compliance with E-Trading regulatory requirements, namely MAR (15c3-5), as well as… more
- Citigroup (Getzville, NY)
- …firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying ... **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives Processing **Time Type:** Full time **Primary Location:**… more
- US Bank (New York, NY)
- …registered investment adviser requirements, including SEC and FINRA regulations and state securities laws. - Advise business lines, compliance , and other ... on federal and state statutes and regulations, focused on securities laws and the activities of broker-dealers and registered...regulatory changes for use by internal partners, such as compliance and business lines, and providing legal advice and… more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance ... regulatory reporting requirements. The position will primarily focus on providing real-time compliance advisory services and serve as the subject matter expert to… more
- SMBC (New York, NY)
- …the related economics. **Role Objectives** + Provide regulatory advice and oversight of compliance with expertise in US securities , swaps and banking laws and ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- Marex (New York, NY)
- …The Senior Compliance Officer - Fixed Income Advisory will provide compliance advisory services primarily for Fixed Income securities , including corporate ... bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… 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 ... more specific details for this role. **Job Description:** TD Securities is seeking a highly experienced and strategic Senior...experienced and strategic Senior Conflict Manager to join our Compliance Control Room. This role is critical in managing… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $115,000 - $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...(i) public and private offerings of equity and debt securities . + Assist in the development and build out… more
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