- Eclaro (Charlotte, NC)
- …experience and knowledge of Corporate & Investment Banking business (a combination of global Banking, Commercial Real Estate, Capital Markets and Fixed Income ... and oversee the implementation of the Policy across CIB's global business and supporting functions (including US, and international...leader will serve as the CIB Group Third Party Officer and manage the CIB Third Party Risk Management… more
- HSBC (New York, NY)
- …by containing compliance risk in liaison with the Head of Group Compliance , Global Business Compliance Officer , Area Compliance Officer or ... Role requires client contacts + Attend and present at Market Manager Sales/ Compliance meetings + Have delegated...Local Compliance Officer , ensuring adequate compliance resources and training, fostering a compliance … 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 ... committed to results, in an inclusive and high-performing culture. ** Global Banking and Markets ** Global ...provides our clients an important bridge to this key global market for trade and investment flows… more
- NatWest Markets (Stamford, CT)
- Director Electronic Trading Compliance Officer , US Stamford,United States Permanent Full Time \#R-00241613 Share: ... of the department and the business. **Director, Electronic Trading Compliance Officer , US** Seeking an experienced ...related to eTrading business. + Represent the 2LOD on global committees. + Contribute to compliance risk… more
- NatWest Markets (Stamford, CT)
- …Compliance Assurance Officer reportingto the US General Counsel and the Global CCOwill lead the Compliance Assurance team responsible for assessing ... Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer...the industry. **Education and Experience:** + 10+ years of global compliance and audit related experience, and… more
- Citigroup (Jersey City, NJ)
- …covering middle and back office Operations activities within the Global Markets business, in accordance with the Compliance Independent Assessment (CIA) ... Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) testing team responsible for assessing compliance risks and… more
- Citigroup (New York, NY)
- The Capital Markets Regulatory Engagement Officer will be part of Citi's Global Regulatory Engagement team and report directly to the Capital Markets ... management execution and oversight across all of Citi's regulators. The Capital Markets Regulatory Engagement Officer will support Citi's regulatory engagement… more
- Bank of America (New York, NY)
- Officer - Markets Support Analyst New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to help make financial lives ... a high degree of accuracy with customers and data to ensure compliance with regulations and policies. **Responsibilities:** + Performs set-up and maintenance of… 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 ... provides our clients an important bridge to this key global market for trade and investment flows...to drive ambition for every future! **Purpose** The Conduct Compliance Officer coordinates tracking, measurement, and management… more
- Bank of America (New York, NY)
- Compliance & Operational Risk Manager- Global Markets & Fixed Income New York, New York **Job Description:** At Bank of America, we are guided by a common ... and/or Third Parties. Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise… more
- Citigroup (New York, NY)
- Job Description The Market Risk Senior Officer I is...closely follows the Equities Markets and oversees market risk coverage of the Global Equities ... and recommend actions to mitigate risk. The candidate will have experience in Equities Markets , knowledge of Market Risk Framework and Policy, and Market … more
- ASM Global (Detroit, MI)
- …advisors, bankers, and trustees to support long-term financial strategy and compliance with municipal bond market requirements. QUALIFICATIONS: Education: + ... Mayor Albert E. Cobo (1950-1957). Reporting to the CEO, the Chief Financial Officer (CFO) is a senior executive for the Detroit Regional Convention Facility… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Market Risk Officer within Corporate Risk and as part of the Finance Risk Management group on the Legal Entity ... in one or a combination of the following: trading, desk analyst, Capital Markets , market risk, interest rate risk or equivalent demonstrated through one… more
- TIAA (Charlotte, NC)
- …Programs Officer supports the Enterprise Compliance Chief Compliance Officer (CCO) to help drive global Compliance transformation and strategic ... Compliance Officer supports the SMD Enterprise Compliance Officer to help drive global...to help educators retire with dignity, today weʼre a market -leading retirement company fueled by world-class asset management. But… 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 ... clients. It connects a diverse client base to local markets and the organization's extensive global network....Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… 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 ... clients. It connects a diverse client base to local markets and the organization's extensive global network....Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… more
- Wellington (Boston, MA)
- …aligns our perspectives with those of our clients. **About the Role** The Compliance Officer will support Wellington Management's compliance program, ... management capabilities that span nearly all segments of the global capital markets . Our investment solutions, tailored...these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of… 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 ... Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and… more
- Marex (Chicago, IL)
- …visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Compliance Officer - FCM Advisor provides ... Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and… more
- GRAIL (Menlo Park, CA)
- …and healthcare companies. For more information, please visit grail.com . The Vice President, Compliance & Privacy, Chief Compliance Officer role will oversee ... + Commercial and Marketing: help set marketing US and global market strategies, manage contracting arrangements with...law firm experience, and/or government experience. + Knowledge of global compliance and data privacy laws and… more
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