- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists ... to detail and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance functions for the… more
- Citigroup (New York, NY)
- The Enterprise Data Office (EDO) Regulatory Management senior officer will be part of Citi's Technology & Business Enablement Regulatory Management team and ... report to the Enterprise Data Office Regulatory Management Lead. Citi's Enterprise Data Office ...correct as needed. **Education:** + Bachelor's degree; experience in compliance , legal or other control-related function in the financial… more
- SMBC (New York, NY)
- …a competitive portfolio of benefits to its employees. **Role Description** The Director, Sr. Regulatory Officer works with the Regulatory Relations team to ... shares feedback to management and relevant business units on regulatory expectations. + Oversee compliance and alignment...business units on regulatory expectations. + Oversee compliance and alignment of team member activities with all… more
- CIBC (New York, NY)
- …CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for performing important advisory, ... Swap Dealer Compliance program. The Swap Dealer Compliance Officer is primarily responsible for 1)...requirement group topics to determine risk ratings under CIBC's Regulatory Compliance Management framework; + Assist in… more
- TD Bank (New York, NY)
- …**Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The team supports ... multiple sources (eg, order management systems, execution platforms, and market data feeds). + Regulatory Compliance & Risk Management: Help to ensure TDS meets … more
- Banco Popular Puerto Rico (New York, NY)
- …13, 2025 Location: New York, NY, US, 10004 Company: Popular Workplace Type: Hybrid Senior CRA Compliance Officer - US CRA US CRA We are looking for a Senior CRA ... Compliance Officer to join our ... Compliance Officer to join our Compliance Team in...providing a range of support, guidance, and analysis on regulatory compliance requirements, issues, and/or best practices… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer to join the CIB Macro Business Aligned Compliance Team. Learn more about the career ... Trading Compliance Team is a Business Aligned Compliance Officer (BACO). The BACO for this...Dealer within the Markets Division. This role will provide regulatory compliance advice to the business and… more
- Raymond James Financial, Inc. (New York, NY)
- …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision ... of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in ... adhering to regulatory / compliance requirements and assists in implementing ...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- Scotiabank (New York, NY)
- Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00 - 301,500.00 _Please note that the Salary Range shown is a guideline ... . **What You'll Do** + Acting as a senior compliance officer and Compliance team...management and US Compliance personnel on relevant compliance issues, the regulatory environment, and … more
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