- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Compliance Officer - Swap Advisory who will provide compliance ... services for Marex's registered Swap Dealer (Marex Derivative Products, "MDP") and Securities -Based Swap Dealer (Marex Securities Products, "MSP") and have a… more
- Scotiabank (New York, NY)
- Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00 - 301,500.00 _Please note that the Salary Range shown is a guideline ... future! **Purpose** In this role, you will provide senior compliance support for the Scotiabank US Sales and Trading...applicability and impact of laws and regulations for specific securities sales and trading businesses, and evaluate the impact… 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
- Santander US (New York, NY)
- Advisory Compliance Officer - Fixed Income Business Line Compliance Country: United States of America **Your Journey Starts Here:** Santander is a global leader ... Want to Talk to You!** USA Job Family Description: You will provide real-time compliance advisory support to the US Fixed Income & Currencies sales and trading… 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
- PNC (New York, NY)
- …investments) team is searching for a Portfolio Manager in Agency Mortgage-Backed Securities sector. The ALM team manages 150+bn in assets and Agency Mortgage-Backed ... to maximize long-term profitability and optimize risk-adjusted returns, ensuring compliance with regulatory requirements, and aligning investments with the… more
- Axis (New York, NY)
- …candidates taking part in the selection process. Head of US Broker Compliance Job Family Grouping: Operations Group Job Family: Operations-Producer Compliance ... to our collective success? As the Head of Broker Compliance at AXIS, you will play a pivotal role...is highly desirable. * Membership and involvement in the Securities & Insurance Licensing Association (SILA) or similar industry… more
- BMO Financial Group (New York, NY)
- …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 requirements and ... are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain...handling, and Market Access. + Strong knowledge of applicable securities laws, rules and regulations with the ability to… more
- MUFG (New York, NY)
- …details. Our ideal candidate will possess a strong understanding of regulatory compliance , risk management, and business operations. This role requires someone who ... and able to effectively communicate with various stakeholders. + Assess regulatory/ compliance controls related to areas of coverage. This would include providing… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $140,000 USD TD is committed to providing fair ... for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS...in Word, Excel and PowerPoint **Who We Are** TD Securities offers a wide range of capital markets products… more