- 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
- Santander US (New York, NY)
- Advisory Compliance Officer - Fixed Income Business Line Compliance Country: United States of America **Your Journey Starts Here:** Santander is a global ... Want to Talk to You!** USA Job Family Description: You will provide real-time compliance advisory support to the US Global Markets Business sales and trading … 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 ... 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
- JPMorgan Chase (New York, NY)
- …clients. In this role you will also focus on equities and fixed income trading Compliance matters. Job Responsibilities + Maintain policies and standards which ... status quo and striving to be best-in-class. As a Compliance Risk Management Senior Officer within the...set forth the requirements for equities and fixed income trading regarding the management and oversight over compliance… more
- Raymond James Financial, Inc. (New York, NY)
- …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
- CalSTRS (Sacramento, CA)
- …Investments Branch is seeking an experienced individual to work as an Investment Officer III (IO III) on the Investment Compliance team. CalSTRS Investment ... Job Posting: Investment Officer III State Teachers' Retirement System JC-484406 -...of two units: Investment Performance & Analytics and Investment Compliance . Investment Performance & Analytics ensures data accuracy through… more
- 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
- 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
- Trexquant Investment (Stamford, CT)
- …professionals pushes the boundaries of quantitative finance. We are seeking a Chief Compliance Officer (CCO) to join our senior leadership team, overseeing ... + Work closely with quantitative researchers, engineers, and traders to integrate compliance into our algorithmic trading framework. + Oversee regulatory filings… 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 ... the compliance program at an asset management firm in Manhattan,...programs, policies, and automated systems, including for both personal trading and firm trading . + Serve as… more
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