- Axis (New York, NY)
- …Accommodation is available upon request for candidates taking part in the selection process. Head of US Broker Compliance Job Family Grouping: Operations ... Compliance How does this role contribute to our collective success? As the Head of Broker Compliance at AXIS, you will play a pivotal role in ensuring… more
- City National Bank (New York, NY)
- * Head of Deposit and Operations Compliance * WHAT IS THE OPPORTUNITY? The Head of Deposit and Operations Compliance will act in a compliance advisory ... role supporting consumer banking on matters of regulatory compliance . The role will be responsible for managing and maintaining assigned areas of the compliance … more
- Capital One (New York, NY)
- Director, Head of Surveillance As the Director, Head of Surveillance, part of Capital One's Compliance organization you will manage Capital One's Electronic ... Capital One's Commodity Futures Trading Commission (CFTC) Swap Dealer and three Broker -Dealers. You will maintain the Surveillance function in order to reduce and… more
- Citizens (New York, NY)
- …Excel and SharePoint Qualifications + Minimum 7 years of institutional broker -dealer compliance experience, with significant licensing and registration ... subsidiary of Citizens Financial Group, is a FINRA-registered institutional broker -dealer with approximately 650 associated professionals. We deliver strategic… more
- Axis (New York, NY)
- …North America Reinsurance P&C Claims team. This role reports directly to the Global Head of Reinsurance Claims. The candidate should possess the ability to lead and ... and processes to ensure optimal efficiency and customer service, including compliance with Key Performance Indicators (KPIs) to ensure delivery of internal… more
- Broadridge Financial Solutions (New York, NY)
- …while helping others along the way, come join the Broadridge team. Reporting to the Head of Corporate Actions and Income Processing based in the UK with a dotted ... industry relationships (C suite) in the Wealth Management industry (front office, compliance , industry organizations and back office). + Proven track record of… more
- SMBC (Jersey City, NJ)
- …the CRA are utilized to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent risks are identified. This role will ... include conducting compliance risk assessments of certain US legal entities in...will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer; SMBC Group's wholesale… more
- AIG (New York, NY)
- …insurance solutions for our global customers, empowering our clients and broker partners to navigate complex cross-border risks with confidence and consistency. ... and in alignment with and support of AIG USA's growth plans/strategies. + Support the Head of Multinational - North America to expand AIG MN's presence in the market… more
- TD Bank (New York, NY)
- …and execution of the annual Compliance Test Plan. + Work closely with the Head of Compliance Monitoring and Testing and the other Compliance Testing ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is...or more years of experience with a registered US broker dealer or regulator. + JD desirable but not… more
- Marex (New York, NY)
- …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 York. The role will ... opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. Marex has unique...E-communications, Voice, and Trade Surveillance review services to US Broker Dealer (BD) and FCM business lines + Review… more
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