- Larson Maddox (Chicago, IL)
- An up and coming fintech firm in Chicago is looking to hire a Senior Compliance Officer . In this key role, you will help ensure that both the broker-dealer ... updates to internal procedures and compliance programs to the Chief Compliance Officer (CCO). Collaborate with institutional and insurance business units to… more
- Marex (New York, NY)
- …services. For more information visit www.marex.com Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... the Compliance Manual and Written Supervisory Procedures. Provide Compliance Advisory services for broker-dealer Trade Surveillance process. Provide… more
- The MITRE Corporation (Arlington, VA)
- …security systems such as access control, intrusion detection, and video surveillance systems; life safety systems, building fire alarm systems, emergency response ... assume the role of On-Scene Emergency Coordinator until the arrival of more senior personnel. While assigned to this position, and working with the Shift Supervisor,… 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 ... surveillance function. Safeguarding the reputation of Compliance 's good governance depends on us. The Senior...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- TD Bank (New York, NY)
- …for your business area/function and the bank, both internally and/or externally The Senior Compliance Office provides advice, guidance and support to business ... of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- TD Bank (New York, NY)
- …bank/systemically important financial institution in the US. Our team of trusted Surveillance Compliance professionals engages with key stakeholders across TD ... global Markets business, by delivering and comprehensive and effective second-line compliance surveillance function. Safeguarding the reputation of Compliance… 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 ... the Compliance Manual and Written Supervisory Procedures. + Provide Compliance Advisory services for broker-dealer Trade Surveillance process. + Provide… 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 ... US Broker Policies and Procedures and Written Supervisory Procedures. + Provide Compliance Advisory services for US Broker Trade Surveillance process. +… 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 ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...and implement appropriate corrective actions + Partner with global/regional Surveillance teams in promoting our global program and its… more
- MyFlorida (Ocala, FL)
- CORRECTIONAL PROBATION SENIOR OFFICER - 70023750 Date: Jul 18, 2025 The State Personnel System is an E-Verify employer. For more information click on our ... Requisition No: 857029 Agency: Department of Corrections Working Title: CORRECTIONAL PROBATION SENIOR OFFICER - 70023750 Pay Plan: Career Service Position… more
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