- 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 ... Job Family Description: You will provide real-time compliance advisory support to the US Fixed Income & Currencies sales and trading business which focus on… more
- TD Bank (New York, NY)
- …**Responsibilities:** + Provide compliance advisory coverage for the markets advisory team with focus on the fixed income and municipal finance sales ... specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support...Senior Manager will provide support to the overall Markets Advisory Compliance team helping with large projects… more
- Scotiabank (Houston, TX)
- …businesses. The Compliance Officer will serve as (1) primary compliance advisory coverage for Scotiabank's Houston based Corporate & Investment Banking ... Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary...operate as a member of the CIB & Research Compliance Advisory team which provides compliance… more
- NatWest Markets (Stamford, CT)
- …to ensure the proper operations of the department and the business._ **Job Description** The Compliance Advisory Officer reporting to the Compliance ... US Advisory Compliance team, the Compliance Advisory Officer will support...subject matter expertise on rules and regulations pertaining to fixed income sales and trading including but not limited… 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...in relevant business forums and internal meetings. + Provide compliance support for equities and fixed income… 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 ... UAT Review of new scenarios. + Provide Surveillance expertise to BD and FCM Advisory Compliance , adding context and counsel to the objective response. +… more
- Citigroup (Jersey City, NJ)
- Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal ... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice… more
- City National Bank (Los Angeles, CA)
- *INVESTMENT RELATIONSHIP OFFICER * WHAT IS THE OPPORTUNITY? Assist Financial Advisors by providing day to day client support and operational service on all CNS ... Investment Advisory Program and client-directed accounts, to affluent individuals and...servicing, and client account maintenance. Process money market transfers, fixed income, mutual fund, and equity trades and provide… more
- Mizuho Corporate Bank (New York, NY)
- …and implication in the onboarding process + Understand policy changes socialized by Compliance and implications to the onboarding process + Manage end to end ... acquisition of Greenhill, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas employs… more
- SMBC (New York, NY)
- … risk assessment exercise. **Qualifications and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or ... portfolio of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more