- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 219504 **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
- 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
- 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
- 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
- Zurich NA (New York, NY)
- VP, Senior Underwriting Officer 120961 Zurich is currently looking for a Surety AVP Underwriting Officer OR VP, Senior Underwriting Officer to work out of ... you will partner with brokers and will utilize strong sales execution mindset to write profitable business. To bring...will be filled at either the Surety AVP Underwriting Officer OR VP, Senior Underwriting Officer . The… more
- Bank of America (New York, NY)
- …equivalent work experience preferred; + Understanding of Market Misconduct behaviors across Equity Trading and Sales business; + Ability to work collaboratively ... Sr. Business Controls Officer New York, New York **Job Description:** At...relating to non-financial risk, including but not limited to compliance with regulatory rules and guidance as well as… more
- Citigroup (New York, NY)
- …of a trade. We partner extensively with a range of internal stakeholders including Sales and Trading Desks, Compliance , Legal, Finance and HR; alongside having ... a dominant top 3 player in the market + Equity (Cash, Derivatives, Prime Brokerage, Futures, Listed Derivs, FXPB)...and products. **Job Purpose:** The Business Risk and Control Officer reports into the newly formed Markets Ops COO… 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 JPMorganChase 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 custody activity. You will serve as the Credit Officer and primary coverage for those credit relationships. **Job… more
- Mizuho Corporate Bank (New York, NY)
- …professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody ... team plays a key role (in collaboration with legal, compliance , IT, etc) in the analysis, requirements specifications, and...relevant to their remit. Summary The Operations Regulatory Reporting Officer position will play a key role in the… more
- JPMorgan Chase (New York, NY)
- …**Job Responsibilities** + Assist in creating and preparing the FCM Annual Chief Compliance Officer Report. + Create, update and maintain Compliance ... Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the… more
- JPMorgan Chase (Jersey City, NJ)
- …the status quo, and striving to be best-in-class. As a Risk Management Senior Officer within the Compliance , Conduct and Operational Risk line of business, you ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...these areas + Provide appropriate challenge and guidance to sales teams related to AML risks for FinTech and… more
- Siebert Williams Shank (New York, NY)
- … professional to assist the Compliance team led by the Chief Compliance Officer . The successful candidate will support compliance efforts including ... agent. All activities are supported by a robust secondary sales and trading platform, and a sound regulatory capital...7 licenses required + At least 3 years of compliance experience (broker-dealer preferred) + Experience with fixed income… more
- Wells Fargo (New York, NY)
- …to join its team. The position will report to the Markets Development Officer Leader. This position will provide tactical support to the Markets Development Office ... be limited to: + Work directly with CIB Development Officer Leaders and key partners in support of: All...to turn findings into strategic imperatives + Preferably in Sales & Trading or Markets-based environment + Experience in… more
- Scholastic (New York, NY)
- …+ Ensure compliance with all relevant regulations, including FLSA, pay equity laws, and other federal, state, and local labor requirements. + Provide strategic ... executive compensation, salary benchmarking, job evaluations, incentive structures, and compliance with applicable labor laws. The position requires proven expertise… more
- KeyBank (Port Chester, NY)
- …in their finances. The Personal Banker is a client first, sales -driven, self-motivated, and competitive individual. Strong and effective teamwork, paired with ... business accounts (consumer checking, small business, various deposit products, home equity , unsecured lending, certificates of deposit, etc.). + Developing strong… more
- Neuberger Berman (New York, NY)
- …the development and implementation of technology solutions across Marketing, Sales , Employee Platform, and Client Services. Reporting directly to Neuberger ... Berman's Chief Technology Officer and serving as a member of the Global...expertise in leveraging advanced analytics to benefit marketing and sales professionals is crucial. This senior leadership position requires… more
- Scotiabank (New York, NY)
- …PERSON MAY PROVIDE DOCUMENTARY EVIDENCE BEARING ON THE APPLICATION TO THE REGIONAL CERTIFYING OFFICER OF THE US DEPARTMENT OF LABOR TO: Certifying Officer US ... loan transactions, building financial models, negotiating documentation, and monitoring compliance and industry trends. Ensure all activities conducted are in… more
- The Hartford (New York, NY)
- …and with matrix accountability to the General Industries Chief Underwriting Officer , this role requires deep industry knowledge, exceptional leadership, and the ... for career pathing within the team and organization more broadly. Underwriting Officer responsible for portfolio management and underwriting quality of Center of… more
- Broadridge Financial Solutions (New York, NY)
- …ICS provides technology-driven solutions to help clients meet their regulatory compliance needs and manage critical communications to shareholders. It serves banks, ... archival and workflow solutions. . Role Description Reporting to Broadridges Chief Financial Officer , the Chief Financial Officer ICS (CFO ICS) will form an… more
- JPMorgan Chase (New York, NY)
- …to support the execution of Investment and Corporate Banking transactions across Equity Capital Markets, Debt Capital Markets, Mergers and Acquisitions, and Lending. ... product bankers, Wholesale KYC Operations (WKO) Client Office and Compliance teams in region to meet local or product...of prior work experience preferred with a background in sales /client service and project management a plus + Previous… more