- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer to join the CIB Macro Business Aligned Compliance Team. Learn more about the career ... (https://www.wellsfargojobs.com/career-areas/) . This role within the Macro Sales & Trading Compliance Team is a Business Aligned... Compliance Team is a Business Aligned Compliance Officer (BACO). The BACO for this… 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 risks ... line of defense. Also responsible for performing assessments of Citi's compliance risks; performing independent testing activities (testing and monitoring) within… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is ... appetite and protects the franchise. In addition, engages across the various Markets Compliance product and function coverage teams, in order to partner to develop… more
- Wells Fargo (Charlotte, NC)
- …us! **About this role:** Wells Fargo is seeking a Lead Control Management Officer (VP) to join our Corporate and Investment Banking (CIB) Trade Surveillance team, ... with a dedicated focus on Unauthorized Trading . This critical role identifies, assesses, and mitigates risks associated with trading activities that fall outside… 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)...desk's daily business activities; and 6) monitoring sales and trading activities to ensure compliance with CIBC… 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
- Tradeweb (New York, NY)
- …compliance /posters/pdf/eeopost.pdf **Group Details** Tradeweb is seeking a mid-to-senior level Compliance Officer with deep expertise in data privacy, privacy ... **Company Description** Tradeweb is a global leader in electronic trading for rates, credit, equities, and money markets. As financial markets become increasingly… 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
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform ... 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
- AON (Chicago, IL)
- …The Compliance Analyst's primary role is to assist the Deputy Chief Compliance Officer and team with the day-to-day administration of AIUSA's compliance ... the day-to-day administration of the Firm's Code of Ethics/personal trading policies through the Firm's compliance software....Analyst's primary role is to assist the Deputy Chief Compliance Officer and team with the day-to-day… more