- CIBC (New York, NY)
- …more about CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) The Senior US Equity Derivatives Compliance Officer is responsible for: 1) ... your interview. How You'll Succeed The Senior US Equity Derivatives Compliance Officer is primarily...and Equity Derivatives businesses to assess overall compliance with regulatory rules; + Drafting and… more
- Citigroup (New York, NY)
- …and reporting control issues with transparency. **Qualifications:** + **Structure Products/ Derivatives Compliance experience** + Highly motivated, strong ... Serves as a senior function/business/product compliance risk officer for Independent ...policies, resolution of potential red flags or other client/transaction-related compliance escalations. + Representing Citi on critical regulatory… 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...up on issues until resolved. + 10+ years of regulatory compliance experience at a broker dealer.… 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 ... sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives… more
- Citigroup (New York, NY)
- …Credit Management Counterparty Credit Risk - Funds Underwriting Credit Officer , Asset Management Companies, VP** **Description** Citi's Commercial Bank (CCB) ... the ICM CCR Funds UW Team and will based in NYC. The Funds UW Credit Officer facilitates the end-to-end lending process and is essential for the delivery of a wide… more
- Citigroup (New York, NY)
- **Citi Commercial Bank - Commercial Lending Management - Credit Officer , Consumer Products & Retail, SVP** **Description** Citi's US Commercial Bank (CCB) is a ... in either New York City, New York or Iselin, NJ. The CLM Credit Officer facilitates the end-to-end lending process for a covered industry vertical through a team… more
- Bank of America (New York, NY)
- …Surveillance, and Testing * Data and Trend Analysis * Issue Management * Regulatory Compliance * Active Listening Minimum Education Requirement: BA/BS degree in ... Vice President - Global Markets Credit Commodities Credit Officer Charlotte, North Carolina;New York, New York **Job Description:** At Bank of America, we are guided… more
- Bank of America (San Francisco, CA)
- …Analytics + Business Intelligence + Interpret Relevant Laws, Rules, and Regulations + Regulatory Compliance + Attention to Detail + Collaboration + Oral ... Credit Risk Officer - Corporate / Commercial New York, New...(TOH) and Line of Business (LOB) specific reports or regulatory related reporting. **Responsibilities:** + Sets or supports the… more
- Citigroup (New York, NY)
- The Credit Portfolio Senior Officer I is a senior-level position responsible for leading activities including credit review, credit approvals and monitoring the ... and supporting a portfolio of subscription facilities + Strong knowledge of Derivatives and structured lending (including NAV financing) + Review and assess the… more
- MUFG (Atlanta, GA)
- …by management. Ensure adherence to all bank policies and procedures relative to Regulatory Compliance as required. + Perform and coordinate other key initiatives ... day. A member of our recruitment team will provide more details. **Job Summary:** Marketing Officer is responsible for 1) To act as a Core Account Officer for… more
- Wells Fargo (Charlotte, NC)
- …of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively following and adhering to ... has multiple open roles for a senior Business Supervisory Officer , at Executive Director level to build out the...COO teams as well as other support functions (eg, Compliance , Testing, Risk, Operations, Technology, Legal, Audit and Human… more
- Citigroup (Getzville, NY)
- …objectives, promote efficiency, reduce the risk of loss and help to ensure compliance with corporate policies, procedures, laws and regulatory requirements. + ... and reduce operational risk; their focus will be on the Equity Cash, Equity Derivatives and Structured Notes Middle Office teams as well as OTC Confirmations. Risk… more
- APTIM (Tamuning, GU)
- …management, site and corporate safety management, and site field leadership, to ensure compliance with Federal and Guam regulatory requirements. * Conduct daily ... near misses. * Review the APP and AHAs for compliance with EM 385-1-1, and approve, sign, implement and...of the position will be approved by the Contracting Officer in consultation with NAVFAC Marianas Safety Department. *… more
- Wellington (Boston, MA)
- …and maintains client relationships with senior compliance contacts (typically the Chief Compliance officer and staff), engages with clients on an ad hoc ... and reporting across a range of complex and evolving regulatory and compliance -related topics. Our clients are...and soft dollars), trading costs, cross trading, IPOs, liquidity, derivatives risk and exposure, proxy voting and how we… more
- Scotiabank (New York, NY)
- …of securities, loans, and derivatives . + A thorough understanding of financial/ regulatory and compliance policies and procedures. + Possess an adequate ... Manager, US Finance & Regulatory Reporting - Audit **Requisition ID:** 205493 **Salary...institutional equity sales, trading and research, fixed income products, derivatives , energy, foreign exchange and precious & metals. We… more
- Scotiabank (New York, NY)
- …are executed in support of the team's business strategies and objectives. Serves as Compliance Officer within Bank Regulatory Compliance of the ... institutional equity sales, trading and research, fixed income products, derivatives , energy, foreign exchange and precious & metals. We...+ Work collaboratively with other members of the Bank Regulatory Compliance team to support the US… more
- Citigroup (New York, NY)
- …selected clients, the credit product set is augmented with foreign exchange, derivatives and cash management. The Leveraged Finance Credit Risk Director works ... high-risk business remains within appropriate risk tolerances. Under the expanded regulatory leveraged lending definition, this function serves to coordinate various… more
- Citigroup (Getzville, NY)
- …UW Analyst facilitates the end-to-end lending process directly supporting the responsible Credit Officer . Funds UW is essential for the delivery of a wide range of ... liquidity management services, foreign exchange, trade finance and interest rate derivatives . The primary responsibilities of Funds UW include credit underwriting,… more
- Bank of America (Charlotte, NC)
- …Active Listening + Issue Management + Monitoring, Surveillance, and Testing + Regulatory Compliance + Technical Documentation **Shift:** 1st shift (United States ... the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer...risk appetite and risk limits identified, as well as regulatory requirements, as applicable + Manages risk requests, breach… more
- Bank of America (Charlotte, NC)
- …Written Communications + Issue Management + Monitoring, Surveillance, and Testing + Regulatory Compliance + Technical Documentation + Trading Strategy **Shift:** ... the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer...(eg deposits and loans) as well as securities and derivatives used by the CFO organization to manage our… more