- CIBC (New York, NY)
- …(https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for performing important advisory, training, ... surveillance and analytical functions to support CIBC's Swap Dealer Compliance program. The Swap Dealer Compliance Officer...Proficiency Exam holder is a plus; and + Swap Trade reporting experience is a plus. + **Values matter… 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 ... Description:** We are looking for a Director, US Markets Compliance Advisory to join our team in New York...new regulatory requirements. + Participating in industry groups and trade association working groups or other forums. + Accountable… 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 ... and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of… more
- Citigroup (New York, NY)
- Serves as a function/business/product compliance risk officer as a **Senior Vice President for Equities Independent Compliance Risk Management (ICRM)** ... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating… more
- HUB International (New York, NY)
- …mergers and acquisitions. This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic company. This ... advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer, will be a highly visible,...which support Rule 206(4)-7. + Email surveillance / personal trade reviews / marketing material reviews + Develop and… more
- KPH Healthcare Services, Inc. (East Syracuse, NY)
- **Overview** **Scope of Responsibilities:** Responsible for all regulatory, compliance , and accreditation matters within HealthDirect. Oversees the development, and ... **Job Summary:** Reporting to the Director of Operations, the Manager of Compliance and Clinical Operations is responsible formaintaining an effective compliance … more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $185,000 - $225,000 USD TD is committed to providing fair ... Description:** We are looking for a Director, US Markets Compliance Advisory to join our team in New York...of the regulatory framework supporting businesses such as Global Trade Finance and Payments & Corporate Cash Management\. Such… more
- NBC Universal (New York, NY)
- …to be completed during 2025. This is a Versant role. The Role: The Counsel, Compliance will play a pivotal role in shaping and implementing the company's ethics and ... compliance program. This is a high-impact role responsible for...but not limited to, Foreign Corrupt Practices Act (FCPA), Trade Controls/Sanctions, Consumer Protection, Conflicts of Interest, Gifts and… 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 responsible for ... appetite and protects the franchise. In addition, engages across the various Markets Compliance product and function coverage teams, in order to partner to develop… more
- SMBC (New York, NY)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as...responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief … more