- Marex (New York, NY)
- …For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide ... compliance advisory services primarily for Fixed Income securities, including corporate bonds, convertible bonds, agency bonds, municipal bonds, and US Treasuries… more
- BMO Financial Group (New York, NY)
- …- 3 days in 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 ... are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of regulatory requirements… 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 ... clients across industries! We work together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member of the CIB & Research… more
- Wells Fargo (Charlotte, NC)
- **About this role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG) across both Capital ... Strong knowledge of capital markets and broker-dealer regulations. + Experience with Fixed Income and Structured Products compliance programs. + Excellent… more
- First Horizon Bank (Memphis, TN)
- …of all Products and Services to all applicable regulations in which Corporate Compliance has oversight responsibility. Must have a knowledge of all state and federal ... laws and regulations related to Consumer, Trust, and Commercial Compliance to be leveraged as part of other testing responsibilities. Must have transferrable skills… more
- Auburn University (Auburn, AL)
- …Programs **Division Name** VP for Research and Economic Dev **Position Title** Senior Sponsored Programs Officer **Job Class Code** HC28 **Appointment Status** ... Economic Development is accepting applications for the position of **Sr. Sponsored Programs Officer ** . This position manages one of the Sponsored Programs teams and… more
- First Horizon Bank (Miami Lakes, FL)
- …small business, wealth and trust management, retail brokerage, capital markets, fixed income, and mortgage banking services. First Horizon has been recognized ... as one of the nation's best employers by Fortune and Forbes magazines and a Top 10 Most Reputable US Bank. More information is available at www.FirstHorizon.com… more
- Scotiabank (Dallas, TX)
- Senior Facilities Officer **Requisition ID:** 235382 **Salary Range:** 76,500.00 - 142,120.00 _Please note that the Salary Range shown is a guideline only. ... & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious &… more
- Raymond James Financial, Inc. (New York, NY)
- …the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive ... a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the...+ Serve as an integral member of the RJF Compliance Senior Leadership Team, shaping compliance… more
- Stanford Health Care (Palo Alto, CA)
- …Development & Education (EDLD), Chief Strategy Officer (CSO), Chief Executive Officer (CEO), and other Senior Managers (SM); b) Participating and/or ... observing at meetings at all levels of the organization, eg Board, Senior Executives Cabinet, Management Forum, Department c) Visiting key Hospital Departments and… more
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