- Marex (New York, NY)
- …to gain exposure to a wider range of compliance activities at a market -leading firm. Marex has unique access across markets with significant share globally ... is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the...Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join their team in… more
- Citigroup (New York, NY)
- Citibank, NA seeks a Market Risk Senior Officer I for its New York, New York location. Duties: Identify and evaluate market risks associated with the Latin ... experience. 5 years of experience must include: Analyzing global financial markets , market risk, and financial models; Performing statistical analysis… more
- Banc of California (Santa Ana, CA)
- …and participate in management meetings; + Report/communicate LOB risks to their SVP Compliance Officer lead; + Responsible for ensuring all operating procedures ... RCSA and report high risk exposures to their SVP Compliance Officer lead; and + Ensure appropriate...adherence to the risk governance framework; + Ensure ongoing testing of key consumer compliance risk controls;… more
- MyFlorida (Pembroke Pines, FL)
- MS COMPLIANCE OFFICER III - 76005431 Date: May 29, 2025 The State Personnel System is an E-Verify employer. For more information click on our E-Verify Website ... Agency: Highway Safety and Motor Vehicle Working Title: MS COMPLIANCE OFFICER III - 76005431 Pay Plan:...Services in the Commercial Driver Licenses CDL & Third-Party Testing Unit. The ideal candidate is detail oriented and… more
- 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 ... individuals within the various Marex Business lines from a Compliance perspective. Marex has unique access across markets...for broker-dealer Regulatory Reporting process. + Carry out assigned compliance testing . + Coordinate and provide … more
- Equitable (Charlotte, NC)
- Compliance Officer ( 25000075 ) **Primary Location** : UNITED STATES-NC-Charlotte **Organization** : Equitable **Schedule** : Full-time **Description** At ... is based in our Charlotte, NC office. Equitable is currently looking to hire a Compliance Officer within Equitable Distributors Compliance , which is a part… more
- SMBC (New York, NY)
- …to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of ... rules, regulations, and procedures. + Develop and execute monitoring and testing of business activities, including the annual compliance program review,… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** in Corporate Risk as part **Trade Surveillance Oversight** Team. This role will be ... including but not limited to the creation, enhancement and testing of surveillance modules around specific market ...compliance or regulatory organization + Knowledge of US Market Abuse or Manipulation Regulations and FCA MAR Behaviors… more
- M/I Homes (Columbus, OH)
- …Orlando, Raleigh, San Antonio, Sarasota, and Tampa. Job Summary: The Mortgage Compliance Officer ensures the mortgage lending operations comply with all ... role oversees compliance with licensing, registration, disclosure requirements. The compliance officer will work closely with department heads, auditors, and… more
- Citigroup (New York, NY)
- …on internal policies and procedures. This role is in support of the Chief Compliance Officer (CCO) of the Futures Commission Merchant and covers the FDC ... Serves as a senior function/business/product compliance risk officer for Independent ...inquiries and internal and external investigations, as well as testing and audit. + Designing and lead compliance… more
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