- Santander US (New York, NY)
- Compliance Officer - Markets Business Line Advisory Compliance New York, United States of America USA Job Family Description: You will provide ... securities laws/regulations; draft, update and implement relevant policies/procedures; Provide regulatory/ compliance training; assist the Business in implementing… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to perform as the Senior Lead Business Line Compliance Officer for ... team lead directing the day-to-day activities of one Lead Compliance Officer **In this role, you will:**...business unit, on rules and regulations on all compliance matters, including moderate to high-risk compliance … more
- HSBC (New York, NY)
- …communities and the planet we all share. The Global Debt Market Line of Business Compliance Officer will have responsibility for advising business ... risks and regulations. The Global Debt Market Compliance team is part of the Markets ...Markets Treasury team. The US GDM Line of business Compliance Officer , MSS is… more
- Citigroup (New York, NY)
- Serves as a senior function/ business /product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... procedures. This role is in support of the Chief Compliance Officer (CCO) of the Futures Commission...+ Serving as a subject matter expert on Citi's Compliance programs. Provides expert guidance on function/ business /product… 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 ... Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a...are executed / delivered in support of the Bank's business strategies and objectives. Provide advice on compliance… more
- MUFG (New York, NY)
- …Summary:** MUFG Securities is looking for an accomplished multifaceted capital markets product executive with experience advising corporations on loan origination ... be necessary. **Responsibilities:** + Deliver and grow a sustainable, client-focused, primary business . + Protect and enhance the firm's reputation. + Anticipate and… more
- Citigroup (New York, NY)
- …America Rates Trading business is a significant component of a global markets franchise providing interest rate market -making and solutions to customers. The ... Opening is for a Market Risk Officer focused on North...to be accountable for the identification and evaluation of market risks generated by the NA Rates business… 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...expertise. **Role Objectives** + Responsible for providing regulatory and compliance advice to business units, identify and… more
- Marex (New York, NY)
- …(http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: Marex is seeking a Compliance Officer - FCM Advisor who is an ... and NFA rules and regulations to support a fast-paced, growing FCM global business . This individual provides compliance advisory services for the FCM (futures… more
- SMBC (Jersey City, NJ)
- …and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in ... Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing...the current compensation paid in their geography and the market for similar roles at the time of hire.… more
- TD Bank (New York, NY)
- …more specific details for this role. **Job Description:** **Preferred Qualifications:** The Senior Compliance Officer TDS - Compliance within Core ... York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $100,000 - $140,000...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… 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 ... York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $100,000 - $140,000...working with regional testing teams across the globe. This Compliance Officer will also support other aspects… more
- Citigroup (New York, NY)
- …across functions and products. **Job Purpose:** The Business Risk and Control Officer reports into the newly formed Markets Ops COO Global Risk ... Operations groups are core to the success of the Markets business and have significant impact across...3rd lines of defense within the organization. Additionally, the ** Business Risk and Control Officer ** will support… 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 ... York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $100,000 - $140,000... and covers the TDS US businesses. This Senior Compliance Officer will also support other aspects… more
- Truist (New York, NY)
- … Control Group Officer is a subject matter expert within the Compliance group supporting Investment Banking and Capital Markets ("IBCM") who will be ... and ability to provide guidance in time critical situations. In addition, the Senior Compliance Control Group Officer will be involved in reviewing the following… more
- TD Bank (New York, NY)
- …: New York, New York, United States of America **Hours:** 40 **Line of Business :** Compliance **Pay Detail:** $100,000 - $140,000 USD TD is committed to ... Compliance Office provides advice, guidance and support to business units in adhering to regulatory/ compliance requirements...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- Amalgamated Bank (New York, NY)
- Amalgamated Bank is seeking a Compliance Officer to assist the Compliance Officers to ensure the Bank's loan, deposit products and services maintain ... with federal and state regulations + Collaborate with Chief Compliance Officer in executing the Bank's ...many factors, such as: training, transferrable skills, work experience, business needs and market demands. The base… more
- Citigroup (New York, NY)
- Serves as a senior function/ business /product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... framework. **Responsibilities:** + **Providing equities, options and structured products compliance coverage to an assigned function/ business /product** .… more
- Citigroup (Jersey City, NJ)
- … compliance training resources and tools available centrally to support country/ business compliance programs training and research needs. + Appropriately ... Serves as a compliance risk officer for Independent ...relationships within CIA function and with other stakeholders including Business process owners and Internal Audit function. + Identifying… more
- Bloomberg (New York, NY)
- …Head of Employee Compliance .** **What's the Role?** **We are seeking a Compliance Officer with deep E-Comms Surveillance & Monitoring experience. You will be ... to you to make it happen.** **Bloomberg's Legal & Compliance Department plays a critical role in supporting our...program.** **Our Team** **As an Electronic Communications (E-Comms) Surveillance Officer , you'll be a critical member of the Employee… more