- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief ... Compliance Officer as either a member or observer of various...+ Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief ... Compliance Officer as either a member or observer of various...+ Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… 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...or more years of experience with a registered US broker dealer or regulator, Branch Inspections testing… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR* WHAT IS THE OPPORTUNITY? The Senior Compliance Officer within the Fair and Responsible Banking Department is responsible for ... managing and maintaining assigned areas of the compliance program covering Fair and Responsible Banking including monitoring...roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For… 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 ... of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant SEC… 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 ... + At least 10 years of securities advisory experience. Knowledge of broker - dealer activities and requirements. + Strong knowledge of applicable securities… more
- SMBC (New York, NY)
- …to Fixed Income, Equities, Futures and Credit Derivatives + Functional knowledge of Broker / Dealer and Market Making related compliance and risk management ... Summary** The Nikko Securities America, Inc. middle/back office Business Control Officer is a business-aligned change agent and risk management individual… more
- Neuberger Berman (New York, NY)
- … of FINRA RSL Rule. + 3-5 years of investment advisory or broker - dealer experience, ideally with background in supervisory principal activities + Detail-oriented ... focus on identification, mitigation and resolution of alerts related to IPS Compliance (including but not limited to deviation from asset allocation/risk profiles,… more
- CIBC (New York, NY)
- …CIBC and Line of Business policies, standards, guidelines and controls. + As a Compliance Officer , this job is accountable for reviewing the work of others ... registrations (eg U4, U5, Form BD). + Performing surveillance of US broker - dealer regulatory trade reporting obligations + Performing electronic communications… more
- Scotiabank (New York, NY)
- …and broker -dealers, and assist in successfully executing banking and broker - dealer -related audits, regulatory matters, and strategic initiatives. + Lead and ... control under GAAP and IFRS. + Act primarily as Officer in Charge (OIC) for assigned projects, processes, and...regionally and globally to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships… more
- City National Bank (Jersey City, NJ)
- …of modification and enhancements of COI transaction monitoring models. Works with the Compliance Training Officer to ensure that ongoing management of the ... and industry best practices. * In conjunction with the Compliance Training Officer , develops, implements, and manages...roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For… more
- Ankura (New York, NY)
- …risk assessments, policies, procedures, internal controls, and systems processes; + Prepare compliance reports for Compliance Officer , Senior Management, ... companies, third-party payment processers, consumer collections agencies and securities/brokerage [ broker dealer ] + Working knowledge/experience with virtual… 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...or more years of experience with a registered US broker dealer , regulator, or global financial organization.… more
- CIBC (New York, NY)
- …+ 10 + years of experience in a compliance position at a registered RIA, broker dealer or bank. + A strong understanding of the Investment Advisors Act of ... will be based in New York City and report to CIBC's US PWG Chief Compliance Officer ("CCO"). At CIBC we enable the work environment most optimal for you to… more
- Scotiabank (New York, NY)
- …an inclusive work environment. **What You'll Bring** + 5+ years of progressive banking/ broker - dealer experience in audit, risk, compliance , and/or capital ... , Risk Management, and IT to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships with stakeholders from… more