- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance, and Training committees. The Senior Compliance Officer role may manage a coverage area or process ... Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal...compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various… 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 ... Markets** Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America,… more
- Wellington (New York, NY)
- **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our ... investment solutions, tailored to the unique return and risk...the role is to work with the Chief Compliance Officer to build-out, manage and execute the compliance infrastructure… 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** Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America,… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance, and Training committees. The Senior Compliance Officer role may manage a coverage area or process ... Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal...compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various… more
- Neuberger Berman (New York, NY)
- …years' experience in role of senior lawyer with compliance responsibilities, or senior compliance officer (or CCO) for registered funds + Strong knowledge of ... Chief Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classes and… more
- Wellington (New York, NY)
- **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our ... investment solutions, tailored to the unique return and risk...those of our clients. **About the Role** The Compliance Officer will support Wellington Management's compliance program, focusing on… more
- Siebert Williams Shank (New York, NY)
- …experienced compliance professional to the team led by the Chief Compliance Officer . The selected candidates will be responsible for supporting the firm's overall ... developing policies and procedures, communicating all regulatory changes to the taxable fixed income, municipal & equity securities sales & trading, public &… more
- Marex (New York, NY)
- …and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many ... (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Executive Compliance Officer - Solutions Advisory position will provide compliance advisory… more
- Capital One (New York, NY)
- …Park Avenue (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance Advisor Senior Manager will report directly to ... the Commercial Broker Dealer Chief Compliance Officer . This role will support three institutional FINRA registered broker dealers and provide compliance support to… more
- AIG (Parsippany, NJ)
- Position Summary: AIG's Investments group is responsible for managing the investment assets of AIG, including affiliated insurance companies, through internal and ... US domiciled insurance companies and will work closely with the Chief Compliance Officer in the day-to-day execution of the compliance program. + Review and capture… more
- Scotiabank (New York, NY)
- Senior Manager, US Finance & Regulatory Reporting - Audit **Requisition ID:** 208343 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range ... Markets** Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America,… more
- Scotiabank (New York, NY)
- Senior Manager, Head of Volcker Compliance **Requisition ID:** 206763 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... Markets** Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America,… more
- Scotiabank (New York, NY)
- Senior Audit Manager, Compliance Audit (Non-AML) **Requisition ID:** 209949 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... Markets** Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America,… more
- JPMorgan Chase (New York, NY)
- …perspective of Firmwide risk management decisions and offers significant visibility to senior management. Chief Investment Office, Treasury and Corporate (CTC) ... professionals across all levels and regions, gaining exposure to senior portfolio managers in an area of the Firm...risk of the retained portfolio generated from the Chief Investment Office (CIO), Global Treasury, and "other" Corporate businesses… more
- Scotiabank (New York, NY)
- …Markets** Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, ... our clients an important bridge to this key global market for trade and investment flows across the Americas and the world. Global Banking & Markets provides a… more
- Mizuho Corporate Bank (New York, NY)
- …Americas employs approximately 3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & ... several legal entities, which together offer clients corporate and investment banking, financing, securities, treasury services, asset management, research and… more
- JPMorgan Chase (New York, NY)
- Join JP Morgan as a Chief Financial Officer at the Executive Director level and lead a team that supports Deposit and Mortgage finance functions at the Global ... Summary** As the Global Private Bank Deposit & Mortgage Chief Financial Officer within Wealth Management Solutions, you will take on the comprehensive responsibility… more
- Mizuho Corporate Bank (New York, NY)
- …Americas employs approximately 3,500 professionals, and its capabilities span corporate and investment banking, capital markets, equity and fixed income sales & ... escalations. + Report on key KRI/MIS relating to sanctions compliance for senior management and Head Office. + Assist in maintaining OFAC policies and… more