- 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 ... surveillance function. Safeguarding the reputation of Compliance 's good governance depends on us. The Senior...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- TD Bank (New York, NY)
- …for your business area/function and the bank, both internally and/or externally The Senior Compliance Office provides advice, guidance and support to business ... of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- Marex (New York, NY)
- …more information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will ... the Compliance Manual and Written Supervisory Procedures. + Provide Compliance Advisory services for broker-dealer Trade Surveillance process. + Provide… more
- Marex (New York, NY)
- …services. For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will ... US Broker Policies and Procedures and Written Supervisory Procedures. + Provide Compliance Advisory services for US Broker Trade Surveillance process. +… more
- TD Bank (New York, NY)
- …bank/systemically important financial institution in the US. Our team of trusted Surveillance Compliance professionals engages with key stakeholders across TD ... global Markets business, by delivering and comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance… more
- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM)'s Testing team responsible for assessing compliance ... line of defense. Also responsible for performing assessments of Citi's compliance risks; performing independent testing activities (testing and monitoring) within… more
- MyFlorida (Fort Myers, FL)
- CORRECTIONAL PROBATION SENIOR OFFICER - 70024044 Date: Aug 15, 2025 The State Personnel System is an E-Verify employer. For more information click on our ... Requisition No: 859033 Agency: Department of Corrections Working Title: CORRECTIONAL PROBATION SENIOR OFFICER - 70024044 Pay Plan: Career Service Position… more
- BMO Financial Group (Chicago, IL)
- …the office each week is the expectation Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and ... 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
- BMO Financial Group (Milwaukee, WI)
- This role provides regulatory compliance support for BMO's Personal Lending group, which originates mortgages, home equity lines of credit, and other secured and ... and lines of credit. You will have second line of defense compliance oversight of marketing and advertising, applications, underwriting, and closing of consumer… more
- 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)...regulatory matters and provide clear and insightful guidance to senior management and trading personnel; + Ability to manage… more