- 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 ... and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives,… 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 equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives,… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... and covers the TDS US businesses. This Senior Compliance Officer will also support other aspects...plus. + Strong Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...not required + Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and… 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...and conduct monitoring of the broker dealers public side sales and trading groups with a focus on all… 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...and conduct monitoring of the broker dealers public side sales and trading groups with a focus on all… more
- JPMorgan Chase (Jersey City, NJ)
- …challenging the status quo, and striving to be best-in-class. As a Control Room Senior Officer which is a part of the Compliance , Conduct and Operational Risk ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...those restrictions. **Job Responsibilities** + Interact with the Banking, Sales and Trading and Asset Management teams to ensure… more
- Mackenzie Eason & Associates (Waco, TX)
- …has retained Mackenzie Eason & Associates to help recruit a Destination Development Officer to lead the strategic growth and enhancement of Waco's tourism, sports, ... + Facilitate Economic Development + Create a Culture of Equity and Inclusion + Provide a Safe and Resilient...and visionary leader to become our new Destination Development Officer . This pivotal role is central to elevating Waco's… more
- Banco Popular Puerto Rico (Santurce, PR)
- …Compliance , we assist in the bank's incentive compensation projects to comply with sales practices policy and other compliance and risk regulations. * Define, ... Jan 26, 2025 Location: San Juan-Santurce, PR Company: Popular Workplace Type: Hybrid HR Officer | Compensation General Description As an HR Officer in the… more
- JPMorgan Chase (Plano, TX)
- Bring your expertise to JPMorganChase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...and striving to be best-in-class. As a Lead Credit Officer on our Wholesale Credit Risk Merchant Services Team,… more
- SMBC (New York, NY)
- …Summary** The Nikko Securities America, Inc. middle/back office Business Control Officer is a business-aligned change agent and risk management individual ... Business Unit interaction with 2nd LoD functions including Risk Management and Compliance . **Scope** The Nikko Securities America, Inc. Midback Business Control … more
- Conifer Realty LLC (Mount Laurel, NJ)
- CHIEF LEGAL OFFICER , Mount Laurel, NJ Mount Laurel, NJ (http://maps.google.com/maps?q=Mount+Laurel+NJ+USA) * Corporate -Legal Job Type Full-time Description About ... undergoing a full reconstitution, starting with the recruitment of a new Chief Legal Officer , along with the recruitment of 2-3 in-house counsel to join the existing… more
- CVS Health (Washington, DC)
- …exciting ways every day. Aetna is recruiting for an AVP, Chief Network Officer who is responsible for the strategic, operational leadership and development along ... and ensuring the market network(s) meet cost metrics, adequacy standards, network compliance regulations, and profitability goals. + Setting the unit cost budget for… more
- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorganChase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and… more
- City National Bank (Los Angeles, CA)
- *INVESTMENT RELATIONSHIP OFFICER * WHAT IS THE OPPORTUNITY? Assist Financial Advisors by providing day to day client support and operational service on all CNS ... business (entity), fiduciary, and retirement accounts.Answer incoming operational and sales related phone calls for CNS Brokerage Accounts. Operational calls… more
- Neuberger Berman (New York, NY)
- …natural person and entity new accounts, with strategies spanning across asset classes ( equity , fixed income, private equity /credit and hedge funds) with emphasis ... focus on identification, mitigation and resolution of alerts related to IPS Compliance (including but not limited to deviation from asset allocation/risk profiles,… more
- Wells Fargo (St. Petersburg, FL)
- …**In this role, you will:** + Prospect companies with annual gross sales between $25MM to$100MM and remain engaged until prospects are successfully converted ... solid understanding of functional area operations, policies, procedures, and compliance requirements with an emphasis on proactive monitoring, governance, risk… more
- Citizens (Johnston, RI)
- …for generating sales of home lending products including mortgage, home equity loans and lines of credit through leads and applications. These leads and ... include + Determine the customer's financial objectives using needs based sales processes. + Review the customer's lending needs, structure an appropriate… more
- CIBC (NY)
- …(https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing** The Global Swap Dealer Compliance Officer is responsible for performing important advisory, ... Dealer Compliance program. The Global Swap Dealer Compliance Officer is primarily responsible for 1)...remediation of deficiencies identified internally or externally; 7) monitoring sales and trading activities to ensure compliance … more
- TD Bank (New York, NY)
- …your recruiter who can provide you more specific details for this role. **Job Description:** This Compliance Officer is a key member of the TDS US Compliance ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...not required + Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution. +… more
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