- Marex (New York, NY)
- …For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide ... compliance advisory services primarily for Fixed Income securities, including corporate bonds, convertible bonds, agency bonds, municipal bonds, and US Treasuries… more
- BMO Financial Group (New York, NY)
- …- 3 days 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 ... are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of regulatory requirements… more
- Raymond James Financial, Inc. (New York, NY)
- …the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive ... a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the...+ Serve as an integral member of the RJF Compliance Senior Leadership Team, shaping compliance… more
- HSBC (New York, NY)
- …/ Marketing, as needed) etc. As our Private Banking (PB) US Chief Operating Officer (COO) you will: + Ensure senior leadership agenda (incl. formal governance) ... and the planet we all share. The Private Banking (PB) US Chief Operating Officer (COO) will be responsible for a complex strategic delivery agenda that requires… more
- Scotiabank (New York, NY)
- IT Audit Senior Manager, Cyber **Requisition ID:** 232906 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is a guideline only. ... & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious &… more
- TD Bank (New York, NY)
- …for your business area/function and the bank, both internally and/or externally The Senior Compliance Office provides advice, guidance and support to business ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- TD Bank (New York, NY)
- …Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $250,000 USD TD is committed to providing fair… more
- Scotiabank (New York, NY)
- …Partners across senior executives US CIO, Global CISO, Risk, Operations, compliance and legal teams to deliver improved US regulatory outcomes and strategies. + ... of systems or asset data and deliver monthly / quarterly reporting for senior management, Internal Controls, GRM, Compliance , Audit, Operational Risk or 1A… more
- Marex (New York, NY)
- …in order to meet CEO reporting requirements and will also work closely with senior leaders and stakeholders across the business to help drive informed decisions on ... awards. + Group SOX process owner for variable pay and deferred equity, ensure compliance within the group and by service providers. Cost Control + Work with HR… more
- Scotiabank (New York, NY)
- …risks, regulatory changes, and industry trends. Conveys risk-related information to Officer -in-Charge or Audit Principal and senior management. + Maintains ... & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious &… more