- NatWest Markets (Stamford, CT)
- Director Electronic Trading Compliance Officer , US Stamford,United States Permanent Full Time \#R-00241613 Share: ... the proper operations of the department and the business. **Director, Electronic Trading Compliance Officer , US** Seeking an experienced compliance … more
- Citigroup (New York, NY)
- Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal ... Compliance laws, rules, regulations, risks and typologies + Compliance product coverage for Cash Sales Trading and Equities Trading + Must be a… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for the Control Room within 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
- 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
- Wells Fargo (Charlotte, NC)
- … Officers** in Corporate Risk as part of **Corporate & Investment Banking (CIB) Compliance .** As the Lead Compliance Officer , you will support the ... compliance functions on the Fixed Income Sales & Trading Compliance Team. Will be responsible for...one of the following coverage areas: + Business Aligned Compliance Officer (BACO) for the Strategic Relationship… more
- Morgan Stanley (New York, NY)
- …business lines, legal entities and jurisdictions of operation. The Sales and Trading Compliance Group in Institutional Securities Compliance advises ... sponsored benefit programs. **Job:** ** Compliance * **Title:** *Equity Sales & Compliance Officer * **Location:** *New York-New York* **Requisition ID:**… more
- Truist (Atlanta, GA)
- …**Please review the following job description:** Responsible for conducting and directing compliance risk oversight of Sales & Trading business units such ... 4. Take lead of the Fixed Income Sales & Trading Surveillance function within the Compliance team which includes but not limited to project management,… more
- US Bank (Charlotte, NC)
- …placements, derivatives, foreign exchange, debt origination, debt underwriting and sales and trading . The Compliance Control Room Officer is responsible ... Room Manager in maintaining the USBI and USB information barriers and employee trading compliance programs, including the management and control of confidential… 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
- Scotiabank (New York, NY)
- Senior Manager, Conduct Compliance Officer **Requisition ID:** 210173 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range shown is a ... together to drive ambition for every future! **Purpose** The Conduct Compliance Officer coordinates tracking, measurement, and management for conduct-related… 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
- Siebert Williams Shank (New York, NY)
- …and experienced compliance professional to the team led by the Chief Compliance Officer . The selected candidates will be responsible for supporting the ... firm's overall compliance program including developing policies and procedures, communicating all...taxable fixed income, municipal & equity securities sales & trading , public & corporate finance groups, and training, testing… more
- Citigroup (Getzville, NY)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and ... portfolios including trade surveillance, e-communications and voice surveillance, employee trading , outside activities surveillance, and information barrier surveillance. **Responsibilities:**… more
- Truist (Atlanta, GA)
- …various governance meetings for the Capital Markets Risk Management teams spanning Trading Market Risk, Counterparty Credit Risk, Profit and Loss (P&L) attribution ... Verification (IPV). This specialized job family framework includes promoting Truist's compliance with Board-stated risk appetite and regulatory standards across the… 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
- 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
- Citigroup (Tampa, FL)
- …significant risk issues and breaches to executive management. + Work closely with trading , logistics, compliance , and other relevant departments to ensure a ... risk and controls mindset along with extensive experience in physical commodities trading and logistics. This role is critical in identifying, assessing, and… 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 ... and cluster-specific relevancy. The ICRM Global Surveillance and Employee Compliance program encompasses a number of portfolios including trade surveillance,… 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
- Trexquant Investment (Stamford, CT)
- …for someone to join our team and become a manager of platform compliance for a systematic investment firm (for private funds) with solid foundations, mentoring ... veteran senior staff. This opportunity is ideal for a compliance professional who strives to work on diverse projects...+ 4-8 years of prior experience at an adviser, trading firm, regulatory group or financial regulator. + Systematic… more