• Senior Compliance Officer…

    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
    BMO Financial Group (05/15/25)
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  • Senior Compliance Officer…

    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 (04/30/25)
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  • Compliance Officer - Markets…

    Santander US (New York, NY)
    Compliance Officer - Markets Business Line...You!** USA Job Family Description: You will provide real-time compliance advisory support to the US Fixed ... bank. USA Job Function Description: You will provide real-time compliance advisory support to the US Fixed ...with the ability to effectively influence others and engage senior stakeholders and foster collaboration amongst Compliance ,… more
    Santander US (05/03/25)
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  • Director, Markets Compliance Officer

    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
    Scotiabank (05/14/25)
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  • Treasury Risk Officer

    Citigroup (New York, NY)
    Citibank, NA seeks a Treasury Risk Officer for its New York, New York location. Duties: Design and conduct independent assessment of liquidity risks metrics inflows ... responsiveness to changes in the regulatory environment and ensure regulatory compliance . Produce presentation materials and present analysis to management and… more
    Citigroup (05/14/25)
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  • FICC Sales and Trading Compliance

    SMBC (New York, NY)
    …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities.… more
    SMBC (05/12/25)
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  • Senior Audit Manager, US Loan Review

    Scotiabank (New York, NY)
    Senior Audit Manager, US Loan Review **Requisition ID:** 210150 **Salary Range:** 117.400,00 - 224.700,00 _Please note that the Salary Range shown is a guideline ... & acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious &… more
    Scotiabank (04/05/25)
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  • Trade Surveillance Associate ( Compliance )

    TD Bank (New York, NY)
    …for your business area/function and the bank, both internally and/or externally The Senior Compliance Office provides advice, guidance and support to business ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $150,000 USD TD is...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
    TD Bank (05/11/25)
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  • Administrative Coordinator and Compliance…

    Neuberger Berman (New York, NY)
    …: + Provide administrative coordination and compliance support to the Chief Compliance Officer and other senior members of the Legal and ... Neuberger Berman's Compliance team is seeking an Administrative Coordinator and...strong client service and ability to communicate effectively with senior leadership + Highly organized and detail oriented +… more
    Neuberger Berman (03/29/25)
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  • Aladdin Client Transformations, Director

    BlackRock (New York, NY)
    … senior levels. **Your responsibilities:** + Collaborate closely with the Client's senior management team (eg Chief Investment Officer , Chief Risk Officer ... investment software combines risk analytics with portfolio management, trading, compliance , and operations tools on a single platform to...high profile initiatives that require team members to have senior level exposure and play an active role in… more
    BlackRock (04/29/25)
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