- Citigroup (New York, NY)
- Serves as an Electronic Trading (ET) product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance related guidance across Electronic Trading (ET) businesses and… more
- Phillips 66 (Houston, TX)
- **Phillips 66 & YOU - Together we can fuel the future** The Commercial Trading Compliance department is a key part of the Phillips 66 Global Ethics & ... Global Commercial trading activities. Based in Houston, Texas, the **Commercial Trading Compliance ('CTC') Analyst (Gas and Power)** position, will primarily… more
- Phillips 66 (Houston, TX)
- …Together we can fuel the future** Based in Houston, Texas, the C **ommercial Trading Compliance ('CTC'), Senior Analyst (Crude and Refined Products)** role, will ... + Compliance Investigations - Support the GEC Ethics Department and Chief Compliance Officer in conducting internal investigations of P66 trader behavior as… more
- Citigroup (New York, NY)
- The Chief Risk Officer for Finance (Finance CRO) organization provides risk management oversight of the Global Finance function, including effective risk challenge ... capital, liquidity, interest rate risk and Treasury investments, and ensures compliance with all risk-related regulatory requirements. In addition, the team oversees… more
- Citigroup (Jersey City, NJ)
- **Job Description** Serves as a compliance risk officer for the Control Room within Independent Compliance Risk Management (ICRM) responsible for assisting ... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... and leverage broader Bank relationships, systems, and knowledge. + Provide day-to-day compliance support for equities securities trading and sales businesses by… more
- Tradeweb (New York, NY)
- Tradeweb Compliance is looking for a junior to mid-level compliance officer to support our core compliance functions across our regulated entities ... globally. This role will have a reporting line to a supportive and experienced compliance officer based in New York. You will have a high-level understanding… more
- S&P Global (New York, NY)
- …Officers and the Risk & Internal Controls team globally, the Data & Technology Covering Compliance Officer will be a direct liaison and a point of escalation ... monitoring and placing restrictions on personal securities holding and trading . The Policy is designed to promote compliance... trading . The Policy is designed to promote compliance with global regulations. In some Divisions, pursuant to… more
- Truist (Charlotte, NC)
- …review the following job description:** Responsible for conducting and directing compliance risk oversight of Capital Markets business units such as electronic ... communication surveillance, control room surveillance, and sales and trading surveillance to detect issues of regulatory concern, inappropriate behavior and market… more
- Citigroup (New York, NY)
- …and is a global liquidity provider across secondary markets. Derivatives trading platforms transact in linear and non-linear strategies, ranging from vanilla ... exposures or express market views. We are seeking an Officer level, Stable Value Wrap Trader . This is...for assisting with trade underwriting and pricing, client communication, trading book entry, measuring and mitigating risk, in coordination… more
- SMBC (New York, NY)
- …to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of ... the compliance program for an investment advisory firm in Manhattan,...programs, policies, and automated systems, including for both personal trading and firm trading . + Serve as… more
- Tradeweb (New York, NY)
- …. Tradeweb Markets LLC ("Tradeweb") is proud to be an EEO Minorities/Females/Protected Veterans/Disabled/Affirmative Action Employer. https://www.dol.gov/ofccp/regs/ ... will be responsible for managing interactions with regulatory agencies to ensure compliance with applicable laws and regulations. You will be responsible for… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage...monitoring of the broker dealers public side sales and trading groups with a focus on all Fixed Income… more
- Bloomberg (New York, NY)
- …and correspond with regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in US export control regulations specifically ... The energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough;... compliance across the various Bloomberg businesses. The Compliance Officer will maintain compliance … more
- Marex (New York, NY)
- …(http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Executive Compliance Officer - Solutions Advisory position will ... equity derivatives, and hedging activities. This role also involves overseeing trading activities and ensuring compliance with various regulatory reporting… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Surveillance Intelligence Unit (SIU) within Independent Compliance Risk Management (ICRM)'s Surveillance and Employee ... implementation, and oversight for controls and solutions supporting Surveillance, Employee Compliance and Control Room teams, designed to detect behaviors that may… more
- Matter Family Office (Dallas, TX)
- …affect not only you, but others in the organization. YOUR RESPONSIBILITIES: The Chief Compliance Officer position is an opportunity to lead and oversee Matter ... Manage firm and IAR registrations via FINRA website and brochures. + Manage compliance software to track trading , outside business activities, marketing and… more
- SMBC (Jersey City, NJ)
- …employees. **Role Description** SMBC Group is seeking a Vice President for the Compliance Risk Assessment team ("CRA team") within the Compliance Department ... reporting to the Executive Director, Head of Risk and Control Assessment. As a Compliance Risk Assessment ("CRA") Vice President, this role will assist in managing a… more
- SMBC (New York, NY)
- … compliance with applicable requirements. + Support the monitor desk-related compliance processes affecting new and/or enhanced trading desk structures, ... rule, and be able to implement, and manage SMBC's compliance program for the Volcker Rule. On a day-to-day...and regional Volcker Offices on various aspects of Volcker compliance . The Director will be responsible for rigorously supporting… more
- Citigroup (Miami, FL)
- The Treasury Risk Officer is a strategic professional who stays abreast of developments within own field and contributes to directional strategy by considering their ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more