- 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
- 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
- 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 ... provide compliance advisory services for Equities, Fixed Income, Listed Options, Structured Products trading activities as well as knowledge of various… 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
- 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
- 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
- Wells Fargo (New York, NY)
- …Join us! **About this role:** Wells Fargo is seeking a Lead Control Management Officer within FICC Trade Surveillance. Learn more about our career areas and lines of ... trade surveillance controls in FICC, while escalating potential issues to Senior Management. This position will require extensive product knowledge and potentially… more
- Scotiabank (New York, NY)
- Senior Audit Manager, US AML Audit **Requisition ID:** 227034 **Salary Range:** 117,400.00 - 224,700.00 _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
- 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
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