- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** in Corporate Risk as part of **Corporate & Investment Banking (CIB) Compliance .** ... compliance functions on the Fixed Income Sales & Trading Compliance Team. Will be responsible for...for supporting the following coverage areas: + Business Aligned Compliance Officer (BACO) for the Strategic Relationship… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance testing officer for Independent Compliance Risk Management (ICRM)'s Independent Assessment team responsible for assessing significant ... compliance risks and controls implemented by the first and...design and effectiveness of key controls designed to address compliance risks; reporting and escalating control issues and any… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to join the CIB Fixed Income Business Aligned Compliance Team. This role within ... the Fixed Income Sales & Trading Compliance Team is a Business Aligned Compliance Officer (BACO) who will serve as a team lead serving in a leadership… more
- Citigroup (Jersey City, NJ)
- Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal ... a transaction-specific basis. + Liaise with other legal and compliance groups to address information barrier issues, trading... compliance groups to address information barrier issues, trading in equities and fixed income, employee personal … more
- Citigroup (New York, NY)
- The Treasury Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage...monitoring of the broker dealers public side sales and trading groups with a focus on all Fixed Income… more
- BlackRock (New York, NY)
- …in real time. Our investment software combines risk analytics with portfolio management, trading , compliance , and operations tools on a single platform to power ... and TCA + Collaborate closely with the Client's senior management team (Chief Operational Officer , Heads of Trading and Heads of Desks) and provide strong… more
- 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)
- Compliance Officer - Markets Business Line Advisory Compliance Country: United States of America **Your Journey Starts Here:** Santander is a global leader ... You!** USA Job Family Description: You will provide real-time compliance advisory support to the US Fixed Income &...compliance advise in connection with markets sales and trading activities Functional knowledge of the US Fixed Income… 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