- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... Plan in line with below responsibilities: + Provide Compliance Advisory services to broker -dealer business lines....Ability to project confidence and professionalism in dealings with senior business personnel. + Ability to make, support and… more
- Marex (New York, NY)
- …services. For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will ... Plan in line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer...Ability to project confidence and professionalism in dealings with senior business personnel. + Ability to make, support and… more
- Zurich NA (New York, NY)
- AVP Underwriting Officer OR VP, Senior Underwriting Officer 120961 What can go right when you can grow your career? Now is the time to move forward and make ... to submit your talent referral.** Zurich is currently looking for a Surety AVP Underwriting Officer OR VP, Senior Underwriting Officer to work out of… more
- BMO Financial Group (New York, NY)
- …in 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 ... 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
- 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
- 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 ... communication skills, with the ability to effectively influence others and engage senior stakeholders and foster collaboration amongst Compliance , the business… more
- Wells Fargo (New York, NY)
- …Join us! **About this role:** Wells Fargo is seeking a Lead Control Management Officer within FICC Trade Surveillance. Learn more about our career areas and lines of ... Securities Operations that support Wells Fargo Securities (WFS LLC) and regional broker dealers, derivative operations that support its Swap Dealer (WFBNA) including… more
- Citigroup (New York, NY)
- Citibank, NA seeks a Treasury Risk Officer for its New York, New York location. Duties: Design and conduct independent assessment of liquidity risks metrics inflows ... responsiveness to changes in the regulatory environment and ensure regulatory compliance . Produce presentation materials and present analysis to management and… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- Deloitte (New York, NY)
- …+ Foreign equivalent of the above certifications + CUSICO (Certified US Import Compliance Officer + Professional Accreditation in EU Customs Law (post masters) ... world in our world! What you'll do As a Senior Manager on our Global Trade Advisory team, you...technologies. Responsibilities will include: + Helping companies manage global compliance requirements and realize efficiencies in their global supply… more