- CIBC (New York, NY)
- …more about CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) The Senior US Equity Derivatives Compliance Officer is responsible for: 1) ... your interview. How You'll Succeed The Senior US Equity Derivatives Compliance Officer is primarily...and Equity Derivatives businesses to assess overall compliance with regulatory rules; + Drafting and… more
- Citigroup (New York, NY)
- …and reporting control issues with transparency. **Qualifications:** + **Structure Products/ Derivatives Compliance experience** + Highly motivated, strong ... Serves as a senior function/business/product compliance risk officer for Independent ...policies, resolution of potential red flags or other client/transaction-related compliance escalations. + Representing Citi on critical regulatory… 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...up on issues until resolved. + 10+ years of regulatory compliance experience at a broker dealer.… 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 ... sales and trading management and US Compliance personnel on relevant compliance issues, the regulatory environment, and Compliance Department initiatives… more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Surveillance Compliance officer to join their team in New York. The ... within Marex and ensuring that all employees understand their responsibilities. Furthermore, Compliance is a bridge between Marex and regulatory authorities. … more
- Citigroup (New York, NY)
- …Credit Management Counterparty Credit Risk - Funds Underwriting Credit Officer , Asset Management Companies, VP** **Description** Citi's Commercial Bank (CCB) ... the ICM CCR Funds UW Team and will based in NYC. The Funds UW Credit Officer facilitates the end-to-end lending process and is essential for the delivery of a wide… more
- Citigroup (New York, NY)
- **Citi Commercial Bank - Commercial Lending Management - Credit Officer , Consumer Products & Retail, SVP** **Description** Citi's US Commercial Bank (CCB) is a ... in either New York City, New York or Iselin, NJ. The CLM Credit Officer facilitates the end-to-end lending process for a covered industry vertical through a team… more
- Bank of America (New York, NY)
- …Intelligence + Collaboration + Interpret Relevant Laws, Rules, and Regulations + Regulatory Compliance + Oral Communications + Presentation Skills + ... (TOH) and Line of Business (LOB) specific reports or regulatory related reporting. The Credit Risk Officer ...broad range of products including Loans, Leasing, Foreign Exchange, Derivatives , & Treasury Management + Sets or supports the… more
- Bank of America (New York, NY)
- …Surveillance, and Testing * Data and Trend Analysis * Issue Management * Regulatory Compliance * Active Listening Minimum Education Requirement: BA/BS degree in ... Vice President - Global Markets Credit Commodities Credit Officer Charlotte, North Carolina;New York, New York **Job Description:** At Bank of America, we are guided… more
- Bank of America (New York, NY)
- …Analytics + Business Intelligence + Interpret Relevant Laws, Rules, and Regulations + Regulatory Compliance + Attention to Detail + Collaboration + Oral ... Credit Risk Officer - Corporate / Commercial New York, New...(TOH) and Line of Business (LOB) specific reports or regulatory related reporting. **Responsibilities:** + Sets or supports the… more
- Citigroup (New York, NY)
- The Credit Portfolio Senior Officer I is a senior-level position responsible for leading activities including credit review, credit approvals and monitoring the ... and supporting a portfolio of subscription facilities + Strong knowledge of Derivatives and structured lending (including NAV financing) + Review and assess the… more
- Citigroup (New York, NY)
- Job Description The Market Risk Senior Officer I is a strategic professional who closely follows the Equities Markets and oversees market risk coverage of the Global ... reputation and safeguarding Citigroup, its clients, and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Scotiabank (New York, NY)
- …of securities, loans, and derivatives . + A thorough understanding of financial/ regulatory and compliance policies and procedures. + Possess an adequate ... Manager, US Finance & Regulatory Reporting - Audit **Requisition ID:** 205493 **Salary...institutional equity sales, trading and research, fixed income products, derivatives , energy, foreign exchange and precious & metals. We… more
- Mizuho Corporate Bank (New York, NY)
- Summary The Sanctions Compliance Associate will work to strengthen all aspects of the bank's Sanctions Compliance Program, including effective policy, procedure, ... and customer-related escalations. + Report on key KRI/MIS relating to sanctions compliance for senior management and Head Office. + Assist in maintaining OFAC… more
- Bank of America (New York, NY)
- …Active Listening + Issue Management + Monitoring, Surveillance, and Testing + Regulatory Compliance + Technical Documentation **Shift:** 1st shift (United States ... the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer...risk appetite and risk limits identified, as well as regulatory requirements, as applicable + Manages risk requests, breach… more
- Bank of America (New York, NY)
- …Written Communications + Issue Management + Monitoring, Surveillance, and Testing + Regulatory Compliance + Technical Documentation + Trading Strategy **Shift:** ... the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer...(eg deposits and loans) as well as securities and derivatives used by the CFO organization to manage our… more
- Scotiabank (New York, NY)
- …banking, institutional equity sales, trading and research, fixed income products, derivatives , energy, foreign exchange and precious & metals. We also cross-sell ... and COO areas coverage, requiring an individual with a good understanding of regulatory requirements and controls landscape within Global Banking & Markets (GBM). As… more
- Mizuho Corporate Bank (New York, NY)
- …risk management and related administrative work. Works with and assists the Account Officer to service the Bank's corporate clients. Develops and analyzes all types ... + Maintenance and updating of credit files; + Preparation for regulatory examinations and internal/external audits; + Preparation of credit documents; +… more
- JPMorgan Chase (New York, NY)
- …with various teams including Portfolio and Risk Management, Legal, Compliance , Product Development, Sales/Distribution, and Client Service. This role provides ... excellent opportunity to lead projects and teams in a dynamic market, regulatory , and internal governance environment. Job Responsibilities: + Manage and operate… more