- Manulife (New York, NY)
- …Based in New York City or Boston, the role of Chief Compliance Officer-Manulife Investment Management Private Markets Registered Funds and CQS (US), LLC ... Responsible for the design and management of a SEC Rule 38a-1 compliance program for two registered investment companies, a business development company, and… 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 ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member of the...Internal Controls experience. + Strong understanding of applicable US securities regulations eg SEC 10b-5, securities offering… more
- CIBC (New York, NY)
- …(https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Capital Markets Compliance Examination Specialist is responsible for the execution of ... the US Compliance Examination Plan established to ensure adherence with broker-dealer...Office software applications + Strong working knowledge of the securities industry including Equity and Fixed Income Sales &… more
- Aflac (New York, NY)
- VP, Investment Compliance Manager The Company: Aflac Asset Mgt. LLC The Location: New York City, NY, US, 10005 The Division: Global Investment Job Id: 8034 About Our ... Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933 and Securities Exchange...registered investment advisers is a must. + Proactively identify compliance issues and obtain workable resolution. Make a broad… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair ... We are looking for a Vice President, US Markets Compliance Advisory to join our team in NYC. The...(i) public and private offerings of equity and debt securities . + Assist in the development and build out… more
- Truist (Lumberton, NC)
- …in all aspects of trade order management, settlement, collateral management, accounting, compliance , reporting and control for a $75+ billion fixed income portfolio, ... $75+ billion funding portfolio, pledged investment securities and pledged loans. Contribute to the achievement of the organization's strategic goals and objectives.… more
- HSBC (New York, NY)
- …communities and the planet we all share. Reporting to the Senior Manager of Securities Lending Operations, this role is in a newly formed Post Trade team situated ... the US, providing operational support for the HSBC Agency Securities Lending Trading desk. Acting as point of contact...in areas such as IT and Control + Ensure compliance with all relevant regulatory, legal, audit, bank and… more
- TD Bank (New York, NY)
- …this role. **Job Description:** As a leading corporate and investment bank, TD Securities offers a wide range of integrated capital markets products and services. ... to help them meet their needs today and prepare for tomorrow. At TD Securities , the Global Markets Credit function is involved with the origination process for… more
- Berkshire Bank (Boston, MA)
- …Location: Hybrid - Boston, MA - 60 State St Purpose/Objective: The VP, Compliance Officer Asset Management will develop, strengthen, and maintain the compliance ... Management division. This position will provide leadership and strategy for the compliance and risk management of the Wealth Management (Trust department) business… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more