- Santander US (New York, NY)
- Advisory Compliance Officer - Fixed Income Business Line Compliance Country: United States of America **Your Journey Starts Here:** Santander is a global ... securities laws/regulations; draft, update and implement relevant policies/procedures; Provide regulatory/ compliance training; assist the Business in implementing… more
- Raymond James Financial, Inc. (New York, NY)
- … Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic initiatives while ... Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will...Company, and state securities regulations. + Engage with senior business leaders, providing compliance guidance to support… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to join the CIB Fixed Income Business Aligned Compliance Team. This role ... Sales & Trading Compliance Team is a Business Aligned Compliance Officer (BACO)...Income Compliance covers the following Lines of Business within the Markets Division: Credit (Corporate… more
- Citigroup (New York, NY)
- Serves as a senior function/ business /product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... procedures. This role is in support of the Chief Compliance Officer (CCO) of the Futures Commission...+ Serving as a subject matter expert on Citi's Compliance programs. Provides expert guidance on function/ business /product… more
- Citigroup (Jersey City, NJ)
- Serves as a function/ business /product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal ... monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/ business /product...to business groups (IB Advisory and Capital Markets ) as well as Legal and Compliance … more
- Scotiabank (New York, NY)
- Director, Markets Compliance Officer **Requisition... Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a ... Trading businesses by acting as a team leader for Markets Compliance . **What You'll Do** + Acting.... **What You'll Do** + Acting as a senior compliance officer and Compliance team… more
- TD Bank (New York, NY)
- …more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in adhering ... York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $125,000 - $140,000...The Senior Manager will provide support to the overall Markets Advisory Compliance team helping with large… more
- Bank of America (New York, NY)
- Vice President - Credit Risk Officer , Global Markets Credit New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to help ... knowledge and credit skills are necessary. The role sits within the Global Markets Credit ("GMC") group within the Enterprise Credit organization. Global Markets … more
- Marex (New York, NY)
- …to gain exposure to a wider range of compliance activities at a market -leading firm. Marex has unique access across markets with significant share globally ... Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join their team in...objective response. + Communicate and coordinate with colleagues in Compliance and the business to ensure efficacious… more
- Marex (New York, NY)
- …in the individuals within the various Marex Business lines from a Compliance perspective. Marex has unique access across markets with significant share ... (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who...serve as the subject matter expert to Marex Capital Markets Inc. ("MCMI") business units. Such guidance… more