- M&T Bank (Clanton, AL)
- …Compliance Risk Manager Director, Consumer Protection Office reports to the Chief Compliance Officer within M&T Bank's Compliance Risk Management ... program and subject matter experts; report into the Chief Compliance Officer . + Provide guidance, assess, and...and examinations including the Federal Reserve, OCC, SEC, DOL, FINRA , CFPB, States of New York, Delaware, and other… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to perform as the Senior Lead Business Line Compliance Officer for Public ... team lead directing the day-to-day activities of one Lead Compliance Officer **In this role, you will:**...in Bank Dealer and Broker-Dealer, including MSRB, SEC and FINRA regulations. + Understanding of the ever-evolving governance and… more
- NatWest Markets (Stamford, CT)
- Director Electronic Trading Compliance Officer , US Closing date for applications: 29/09/2024 Stamford,United States Permanent Full Time \#R-00241613 Share: ... the proper operations of the department and the business. **Director, Electronic Trading Compliance Officer , US** Seeking an experienced compliance … more
- Wells Fargo (Charlotte, NC)
- **About this role:** This Senior Lead Compliance Officer position will provide IRM coverage of FINRA licensed bankers in Corporate and Investment Banking ... Sponsor transaction compliance requirements. + BS/BA degree or higher. + FINRA registration including Series 79 preferred. **Posting Locations:** + 150 E. 42nd… more
- Wells Fargo (Irving, TX)
- **About this role:** Wells Fargo is seeking a **Senior Lead Compliance Officer ** in Corporate Risk as part of **Commercial Banking Compliance .** Learn more ... the career areas and business divisions at wellsfargojobs.com . As the Senior Lead Compliance Officer , you will be responsible for the Bank Holding Company Act… more
- T. Rowe Price (Baltimore, MD)
- …to join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses, specifically the Exchange-Traded ... compliance and regulatory matters. + Support the Chief Compliance Officer in liaising with regulatory authorities,...and ability to influence and inspire a culture of compliance FINRA Requirements FINRA licenses… more
- Zions Bancorporation (Salt Lake City, UT)
- …bring the talent; we bring the opportunity. We are currently seeking an Investment Compliance Officer within the Market, Liquidity, Wealth Risk & Compliance ... Markets and Public Finance groups. Responsibilities: A Risk & Compliance Officer within MLW provides leadership, analytical...combination of education and experience may meet requirements. + FINRA Series 7, 79, 53, or 24 strongly preferred.… 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 ... support of the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and procedures. **What… more
- T. Rowe Price (Baltimore, MD)
- …firm's investment compliance monitoring system, Charles River. The Investment Compliance Officer identifies, interprets, and programs restrictions into the ... managers and other internal and external parties. The Investment Compliance Officer also assesses the impacts of...+ Strong research and problem-solving skills + Team player FINRA Requirements FINRA licenses are not required… more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Compliance Officer - Policies and Procedures of ... compliance advisor for each regulated entity. The Compliance Officer Policies and Procedures will also... with the company's regulatory requirements under the SEC, FINRA , NFA, CFTC and other applicable exchanges. + Adhere… more
- Tradeweb (New York, NY)
- …written supervisory procedures, policies, training, annual testing, transaction monitoring and AML compliance + Manage the Firms' FINRA Gateway filings (ie, ... as necessary + Manage all aspects of the Firm's AML compliance program, as outlined in FINRA Rule 3310 + Work with various team and departments including… 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 ... activities. This role also involves overseeing trading activities and ensuring compliance with various regulatory reporting requirements. The position will primarily… more
- Matter Family Office (Dallas, TX)
- …affect not only you, but others in the organization. YOUR RESPONSIBILITIES: The Chief Compliance Officer position is an opportunity to lead and oversee Matter ... FINRA . + Manage firm and IAR registrations via FINRA website and brochures. + Manage compliance ...via FINRA website and brochures. + Manage compliance software to track trading, outside business activities, marketing… more
- Neuberger Berman (New York, NY)
- Chief Compliance Officer for over $55 billion...at or leading an inspection by the SEC or FINRA , and responding to general regulatory requests or inquiries ... least five years' experience in role of senior lawyer with compliance responsibilities, or senior compliance officer (or CCO) for registered funds + Strong… 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 ... Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or process with… more
- M&T Bank (Boston, MA)
- …management on compliance matters. Personal responsibility and accountability to ensure FINRA compliance in the Institutional Broker Dealer. This position has ... policies. + Provide subject matter expertise and guidance on compliance with all applicable SEC and FINRA ...on compliance with all applicable SEC and FINRA rules and regulations. + Manage MTS's Written Supervisory… more
- HUB International (Columbus, OH)
- …will be a highly visible, leadership position, reporting directly into Global/Executive Chief Compliance Officer of RPW, working closely RPW senior leadership to ... all. This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic...the growing RPW business. HUB owns several SEC and FINRA regulated entities which the SVP will support to… more
- SMBC (Jersey City, NJ)
- …of benefits to its employees. **Role Description** SMBC Group is seeking a Compliance Transformation Officer for the Compliance Department Americas Division ... ("CPAD"). This team focuses on several key compliance risk types, including consumer compliance , investment...be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire… more
- Citigroup (New York, NY)
- Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating… more
- Marex (Chicago, IL)
- …visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Compliance Officer - FCM Advisor provides ... bonds), and swap dealers. The role primarily focuses on providing real-time compliance advisory services. Marex has unique access across markets with significant… more