• Director, Product Compliance Sr.…

    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 ... 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
    Citigroup (07/26/25)
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  • Director, Markets Compliance Officer

    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 ... compliance support for the Scotiabank US Sales and Trading businesses by acting as a team leader for.... **What You'll Do** + Acting as a senior compliance officer and Compliance team… more
    Scotiabank (07/28/25)
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  • Executive Director, Swap Dealer Compliance

    CIBC (New York, NY)
    …CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for performing important advisory, ... Swap Dealer Compliance program. The Swap Dealer Compliance Officer is primarily responsible for 1)...desk's daily business activities; and 6) monitoring sales and trading activities to ensure compliance with CIBC… more
    CIBC (07/25/25)
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  • Senior Compliance Officer

    TD Bank (New York, NY)
    …**Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The team supports ... Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a… more
    TD Bank (07/22/25)
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  • Senior Compliance Officer - Broker…

    Marex (New York, NY)
    …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... assigned compliance testing. + Coordinate and provide Compliance Advisory support to registration, employee trading ...provide Compliance Advisory support to registration, employee trading and assigned business line queries. + Ensuring … more
    Marex (08/07/25)
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  • SVP, Capital Markets Chief Compliance

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision ... of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic… more
    Raymond James Financial, Inc. (07/26/25)
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  • Privacy And Compliance Officer

    State of Colorado (Denver, CO)
    PRIVACY AND COMPLIANCE OFFICER Print (https://www.governmentjobs.com/careers/colorado/jobs/newprint/5034057) Apply  PRIVACY AND COMPLIANCE OFFICER ... program that targets BHA divisions/office staff, business associates and trading partners (Example: OIT, HCPF, COAG, outside vendors stakeholders),...this position serves as the BHA's BHA Privacy & Compliance Officer . The BHA Privacy & … more
    State of Colorado (08/08/25)
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  • Senior Compliance Officer - US…

    TD Bank (New York, NY)
    …provide you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in ... **Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual...a plus + Experience in providing legal, regulatory or compliance advice to Markets sales and trading .… more
    TD Bank (06/07/25)
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  • Surveillance Officer (VP) - Control Room

    Citigroup (Jersey City, NJ)
    Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform ... a transaction-specific basis. + Liaise with other legal and compliance groups to address information barrier issues, trading... compliance groups to address information barrier issues, trading in equities and fixed income, employee personal … more
    Citigroup (07/23/25)
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  • Senior Manager, CIB & Research Compliance

    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 ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member...interest arising from private-side deals, publication of research or trading activities; + Work collaboratively with other Compliance more
    Scotiabank (07/23/25)
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