- Mizuho Corporate Bank (New York, NY)
- …and implication in the onboarding process + Understand policy changes socialized by Compliance and implications to the onboarding process + Manage end to end ... investment banking, capital markets, equity and fixed income sales & trading , derivatives, FX, custody and research. Visit www.mizuhoamericas.com. Mizuho Americas… more
- Scotiabank (New York, NY)
- …Capital USA ("SCUSA") Futures Commission Merchant ("FCM"), and Security-Based Swap Dealer Chief Compliance Officer in: + the business as usual execution of the ... Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 230322 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown… more
- AON (Chicago, IL)
- …The Compliance Analyst's primary role is to assist the Deputy Chief Compliance Officer and team with the day-to-day administration of AIUSA's compliance ... the day-to-day administration of the Firm's Code of Ethics/personal trading policies through the Firm's compliance software....Analyst's primary role is to assist the Deputy Chief Compliance Officer and team with the day-to-day… 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 ... with key stakeholders across TD Securities (TDS), including Markets Sales and Trading leaders, Technology, Advisory Compliance , and Risk functions. The incumbent… more
- Scotiabank (New York, NY)
- …financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange ... audit of the internal controls. Ensures all activities conducted are in compliance with governing regulations, internal policies, and procedures. **What You'll Do**… more
- TD Bank (New York, NY)
- …your recruiter who can provide you more specific details for this role. **Job Description:** This Compliance Officer is a key member of the TDS US Compliance ... and certain global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core … more
- Scotiabank (Tampa, FL)
- …to results, in an inclusive and high-performing culture. **Director - US Regulatory Compliance Officer - Global Banking & Markets - Tampa, FL** **Global ... team, committed to results, in an inclusive and high-performing culture. **Purpose** The Compliance Officer will serve as the primary point of contact for… more
- Cleveland Research Company (Cleveland, OH)
- … Associate is a key resource for the firm by assisting the Chief Compliance Officer in identifying and mitigating potential conflicts and risks associated with ... Compliance Associate Cleveland Research Company is an independent...to review with CCO + Review and approve personal trading requests and monitor exception reports + Conduct vendor… more
- Scotiabank (New York, NY)
- …financing, mergers & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange ... **Purpose** Seeking a detail-oriented Senior Audit Manager who is seasoned Compliance Auditor with significant experience in Trade Surveillance audits, focused on… more
- The Hertz Corporation (Atlanta, GA)
- …supporting Securities and Exchange Commission ("SEC") filings and public company compliance , SOX compliance , Board of Directors materials, financing transactions ... subsidiary management, designated insider list administration and communications for trading windows, and drafting documents as needed, developing matter… more