- 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
- BMO Financial Group (New York, NY)
- …- 3 days 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 ... are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of regulatory requirements… 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
- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range ... clients across industries! We work together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member of the CIB & Research… 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
- City of Durham (Durham, NC)
- 911 Emergency Communications Technician, Senior (Communications Officer ) Print (https://www.governmentjobs.com/careers/durhamnc/jobs/newprint/4417057) Apply ... 911 Emergency Communications Technician, Senior (Communications Officer ) Salary $49,026.00 - $76,066.00...OR 5:00 pm to 5:00 am. This coverage utilizes fixed shifts including nights, weekends and holidays. Shifts are… 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
- Stanford Health Care (Palo Alto, CA)
- …Development & Education (EDLD), Chief Strategy Officer (CSO), Chief Executive Officer (CEO), and other Senior Managers (SM); b) Participating and/or ... observing at meetings at all levels of the organization, eg Board, Senior Executives Cabinet, Management Forum, Department c) Visiting key Hospital Departments and… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** in Corporate Risk as part **Trade Surveillance Oversight** Team. This role will be ... knowledge. + Develop and present Oversight program materials to senior management. + Provide regulatory compliance risk.../ or equities surveillance, data types and lifecycles with fixed income, municipals, and futures a plus. + Proven… more
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