- Scotiabank (Houston, TX)
- …Syndication (GLS), Global Securitization (GS), Mortgage Capital Markets, Structured Credit and Equity Research businesses. The Compliance Officer will serve ... Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary...equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income… more
- Scotiabank (New York, NY)
- …You'll Do** + Acting as a senior compliance officer and Compliance team leader supporting Scotiabank US sales and trading businesses and coordinating ... Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary...equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists in ... to detail and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance functions for… more
- 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 supports ... Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision ... Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business...for Capital Markets, encompassing Equity Investment Banking, Equity Research, Institutional Equity Sales … 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
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...not required + Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and… more
- Medtronic (Los Angeles, CA)
- …**A Day in the Life** We are seeking a strategic, experienced, and proactive Chief Compliance Officer (CCO) to lead and manage the global compliance and ... compliance with anti-bribery/anti-corruption laws (eg, FCPA, UK Bribery Act), global sales and marketing regulations, and international trade compliance . +… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- City National Bank (Los Angeles, CA)
- *INVESTMENT RELATIONSHIP OFFICER * WHAT IS THE OPPORTUNITY? Assist Financial Advisors by providing day to day client support and operational service on all CNS ... (entity), fiduciary, and retirement accounts. * Answer incoming operational and sales related phone calls for CNS Brokerage Accounts. Operational calls include… more
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