- 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
- 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 (New York, NY)
- …this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The ... Compliance 's good governance depends on us. The Senior Compliance Office provides advice, guidance and...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- JPMorgan Chase (New York, NY)
- …outside the box, challenging the status quo and striving to be best-in-class. As a Compliance Risk Management Senior Officer within the JPM Wealth Management ... In this role you will also focus on equities and fixed income trading Compliance matters. Job Responsibilities + Maintain policies and standards which set… 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
- Mizuho Corporate Bank (New York, NY)
- …and corporate functions to ensure an effective control environment. First Line Risk & Control Officer The First Line Control Officer is a member of a centralized ... control activities and promotes an effective control environment. The First Line Control Officer reports directly to BRC, with an additional reporting line to the… more
- Scotiabank (New York, NY)
- …Capital USA ("SCUSA") Futures Commission Merchant ("FCM"), and Security-Based Swap Dealer Chief Compliance Officer in: + the business as usual execution of the ... Senior Manager, Swap Dealer and Derivatives Compliance...acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious… more
- Scotiabank (New York, NY)
- …work together to drive ambition for every future! **Purpose** Seeking a detail-oriented Senior Audit Manager who is seasoned Compliance Auditor with significant ... Senior Audit Manager, Audit Department **Requisition ID:** 229979...acquisitions, corporate banking, institutional equity sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious… more
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