- Marex (New York, NY)
- …as assigned. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA , NFA, CFTC and other applicable exchanges. + Adhere to the ... Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join their team in New York....opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. Marex has unique… more
- BMO Financial Group (New York, NY)
- …its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding oversight. We are looking for someone ... 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
- Raymond James Financial, Inc. (NY)
- … reviews. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory ... experience, specialized training and/or certification in securities or banking industry compliance to administer and manage an assigned compliance function.… more
- Santander US (New York, NY)
- …activities Functional knowledge of the US Fixed Income trading/regulatory framework, including FINRA , SEC broker dealer regulations and other relevant bank ... Advisory Compliance Officer - Fixed Income Business Line Compliance Country: United States of America **Your Journey Starts Here:** Santander is a global leader… more
- Citigroup (New York, NY)
- …+ Expertise of Compliance laws, rules, regulations, risks and typologies ( FINRA , SEC ) + Excellent written, verbal and analytical skills + Must ... Serves as a function/business/product compliance risk officer as a **Senior VP for...risk officer as a **Senior VP for Equities Independent Compliance Risk Management (ICRM)** responsible for establishing internal strategies,… more
- Raymond James Financial, Inc. (NY)
- … reviews. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory ... certification to ensure the tactical and strategic success of the firm's PCG Compliance program. Responsibilities include but are not limited to providing advice and… more
- TD Bank (New York, NY)
- …securities laws, rules and regulations with the ability to assess firm impact. Specifically, FINRA , SEC , CFTC, NYSE, FED and OCC. + Excellent oral and written ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is committed to providing fair… more
- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range shown is a ... across industries! We work together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member of the CIB & Research … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- … reviews. + Rules and regulations of the Securities Exchange Commission ( SEC ); Financial Industry Regulatory Authority ( FINRA ); and state securities regulatory ... skills obtained through experience, specialized training and/or certification in securities compliance to ensure compliance with all securities and regulations… more
- TD Bank (New York, NY)
- …laws, rules and regulations with the ability to assess firm impact. Specifically, FED, FINRA , SEC , CFTC, NYSE, and OCC including Securities Act, Reg M, SPAC ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $225,000 - $250,000 USD TD is...Description:** We are looking for a Director, US Markets Compliance Advisory to join our team in New York… more