- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join their team in New ... + Documented UAT Review of new scenarios. + Provide Surveillance expertise to BD and FCM Advisory Compliance... Surveillance expertise to BD and FCM Advisory Compliance , adding context and counsel to the objective response.… more
- Marex (New York, NY)
- …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 ... the Compliance Manual and Written Supervisory Procedures. + Provide Compliance Advisory services for broker-dealer Trade Surveillance process. + Provide… more
- 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 ... US Broker Policies and Procedures and Written Supervisory Procedures. + Provide Compliance Advisory services for US Broker Trade Surveillance process. +… more
- 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 ... Want to Talk to You!** USA Job Family Description: You will provide real-time compliance advisory support to the US Fixed Income & Currencies sales and trading… more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Compliance Officer - Swap Advisory who will provide compliance ... Compliance Advisory services for US Swap Dealer Trade Surveillance process. + Provide Compliance Advisory services...Swap Dealer Trade Surveillance process. + Provide Compliance Advisory services for US Swap Dealer Regulatory Reporting… 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
- New York State Civil Service (New York, NY)
- NY HELP Yes Agency Labor, Department of Title Investigative Officer 1/Trainee (Public Work Wage)- NYC (NY HELPS) Occupational Category Enforcement or Protective ... NY Zip Code 10027 Duties Description As an Investigative Officer 1 (Public Work Wage) under supervision of an...setting the prevailing rates;* Inspect payroll records to determine compliance with the law;* Investigate to determine the proper… more
- City of New York (New York, NY)
- …with assigned Special Officer to ensure that all reports are in compliance with required trainings. **IMPORTANT NOTES TO ALL CANDIDATES: Please note: If you are ... Open to candidates who are permanent in the Civil Service title of Special Officer and will therefore be eligible to take the promotional exam for Supervising… more
- Bank of America (New York, NY)
- GCIB Business Controls Officer , Communications Review & Enterprise Programs Associate / VP New York, New York **Job Description:** Global Corporate & Investment ... executive-level reporting to senior managers, including preparing metrics, and reporting surveillance results to senior management to identifying potential trends or… more
- JPMorgan Chase (New York, NY)
- …of security and safety policies and procedures, regulatory and legislative compliance , Security Guard management, alarm response, branch and corporate building ... physical crime investigations, workplace violence, fire and life safety. As a Security Officer within the Global Security Team, you will be responsible for ensuring… more
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