- JPMorgan Chase (New York, NY)
- …Chase, we are dedicated to maintaining a strong and resilient organization. As a Regulatory Strategy Senior Officer , you will be instrumental in ensuring ... regulatory landscapes and strengthen our relationships with global regulators. As a Regulatory Strategy Senior Officer in the Firmwide Regulatory … more
- SMBC (New York, NY)
- …a competitive portfolio of benefits to its employees. **Role Description** The Director, Sr. Regulatory Officer works with the Regulatory Relations team to ... regulators and promptly shares feedback to management and relevant business units on regulatory expectations. + Oversee compliance and alignment of team member… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists ... Attentiveness to detail and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance … more
- TD Bank (New York, NY)
- …this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The ... Compliance 's good governance depends on us. The Senior Compliance Office provides advice, guidance and...management systems, execution platforms, and market data feeds). + Regulatory Compliance & Risk Management: Help to… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business ... units in adhering to regulatory / compliance requirements and assists in implementing ...objectives **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- Marex (New York, NY)
- …more information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will ... within Marex and ensuring that all employees understand their responsibilities. Furthermore, Compliance is a bridge between Marex and regulatory authorities. … more
- Marex (New York, NY)
- …services. For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will ... agency bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements,… 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 ... of policies, resolution of potential red flags or other client/transaction-related compliance escalations. + Representing Citi on critical regulatory matters… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...senior and line managers and other stakeholders on regulatory interactions. + Strong analytical skills, attention to detail,… more
- Highmark Health (Albany, NY)
- …knowledge as well as in-depth knowledge of the insurance industry, strategic compliance planning, regulatory concerns, compliance requirements, and corporate ... This job is responsible for planning, designing, implementing, and maintaining the Compliance Program and its related policies to ensure the business acts within… more