- TD Bank (New York, NY)
- …this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The ... Compliance 's good governance depends on us. The Senior Compliance Office provides advice, guidance and...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business ... compliance experience, preferably in an advisory capacity. The Senior Manager will provide support to the overall Markets...objectives **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory… 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 ... regulatory reporting requirements. The position will primarily focus on providing real-time compliance advisory services and serve as the subject matter expert to… 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 ... bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including… more
- Truist (Charlotte, NC)
- …and responding to regulatory requests for BD / RIA. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise ... controls to determine gaps. Lead or assist in leading compliance initiatives necessary in implementing changes. 3. Analyze and...and Analysts. 8. Partner with LOB leaders and other senior Truist teammates to execute on key strategic initiatives… more
- BMO Financial Group (New York, NY)
- …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
- City National Bank (Los Angeles, CA)
- …for new or revised laws and regulations. * Assist the Compliance Manager, Senior Compliance Officer , and Risk Assessment team with the evaluation of ... along with comparable line of business QA testing results. * Work with Senior Compliance Officer , Compliance Manager to maintain audit tracking logs… more
- Scotiabank (New York, NY)
- …a team leader for Markets Compliance . **What You'll Do** + Acting as a senior compliance officer and Compliance team leader supporting Scotiabank US ... Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary...every future! **Purpose** In this role, you will provide senior compliance support for the Scotiabank US… more
- JPMorgan Chase (Tampa, FL)
- …outside the box, challenging the status quo and striving to be best-in-class. As a Compliance Risk Management Senior Officer within the Compliance ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...all of our practices, products and services are in compliance with both the letter and spirit of all… more
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