- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Control Management Officer . This position will be in the CIB Markets Business Control organization, partnering ... ability to understand and operate successfully in a complex, heavily matrixed corporate environment **Pay Range** Reflected is the base pay range offered for… more
- City of New York (New York, NY)
- …of plan beneficiaries and the City of New York. Reporting directly to the Chief Investment Officer , the Deputy Chief Investment Officer (DCIO) will ... limited to, capital calls and distributions, amendment requests, consent notices and compliance with investment agreements; Measure and present financial and… more
- City National Bank (Los Angeles, CA)
- ** INVESTMENT OFFICER SENIOR** **WHAT IS THE OPPORTUNITY?** Responsible for sales of a broad range of investments, with a particular emphasis on taxable and ... to a highly diverse client base. Determine and document specific client investment objectives, match those objectives to appropriate investment vehicles, then… more
- JPMorgan Chase (New York, NY)
- …and the delivery of a superior client experience. You will partner with Global Investment Bank (GIB) and Global Corporate Bank (GCB) Product and Coverage teams ... to support the execution of Investment and Corporate Banking transactions across Equity...product bankers, Wholesale KYC Operations (WKO) Client Office and Compliance teams in region to meet local or product… more
- Wells Fargo (Charlotte, NC)
- …today. **About this role:** Wells Fargo is seeking a Lead Control Management Officer for Corporate Risk Control team within the Control Management organization. ... Officers (CROs) for Consumer and Small Business Banking, Commercial Banking, Wealth and Investment Management, Corporate and Investment Bank and Consumer… more
- Wellington (Boston, MA)
- …aligns our perspectives with those of our clients. **About the Role** The Compliance Officer will support Wellington Management's compliance program, ... these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of...Risk Group and will report to the Head of Investment Platform Compliance , Americas, working closely with… 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 ... together to drive ambition for every future! **Purpose** The Conduct Compliance Officer coordinates tracking, measurement, and management for conduct-related… more
- Wellington (Boston, MA)
- …Therefore, a key responsibility of the role is to work with the Chief Compliance Officer to build-out, manage and execute the compliance infrastructure ... Group and will report to the Private Investments Chief Compliance Officer , working closely with other ...as appropriate **Qualifications** + 12+ years of legal and compliance experience working at an investment adviser… more
- SMBC (New York, NY)
- …to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of ... Asia, the Group offers a range of commercial and investment banking services to its corporate , institutional,...the compliance program for an investment advisory firm… 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 ... services, including personal and commercial banking, wealth management and private banking, corporate and investment banking, and capital markets. At Scotiabank,… more
- Sharp HealthCare (San Diego, CA)
- …with Foundation board members and key volunteers.Responsible for monitoring investment performance, fiduciary compliance , and gift acceptance policies. ... **Facility:** Corporate Offices **City** San Diego **Department** **Job Status** Regular **Shift** Day **FTE** 1 **Shift Start Time** **Shift End Time** Bachelor's… more
- State of Michigan (East Lansing, MI)
- …is also looking for you! This position serves as the Deputy Chief Compliance Officer of the Compliance & Corporate Governance Division (CCGD) and is ... State Administrative Manager 15 (Deputy Chief Compliance Officer ) Print (https://www.governmentjobs.com/careers/michigan/jobs/newprint/4715521) Apply State… more
- Siebert Williams Shank (New York, NY)
- …and experienced compliance professional to the team led by the Chief Compliance Officer . The selected candidates will be responsible for supporting the ... firm's overall compliance program including developing policies and procedures, communicating all...SWS is a perennial leader as a co-manager of investment -grade corporate debt, a national leader in… more
- Wells Fargo (St. Louis, MO)
- …Corporate Risk as part of ** Corporate & Investment Banking (CIB) Compliance .** As the Lead Compliance Officer , you will support the business ... one of the following coverage areas: + Business Aligned Compliance Officer (BACO) for the Strategic Relationship... with federal, state, agency, legal and regulatory and Corporate Policy requirements + Oversee the Front Line's execution… more
- JPMorgan Chase (New York, NY)
- …and portfolios. + Enhance risk oversight processes, policies, and procedures for Investment , Liquidity and Counterparty Risk, ensuring compliance is maintained. ... JP Morgan Asset & Wealth Management delivers industry-leading investment management and private banking solutions. Asset Management provides individuals, advisors… more
- JPMorgan Chase (New York, NY)
- …+ Work with the broader Asset Management team, including Chief Information Officer 's (CIO), Portfolio Managers, Investment Specialists and many other functions ... and portfolios. + Enhance risk oversight processes, policies, and procedures for Investment , Liquidity and Counterparty Risk, ensuring compliance is maintained.… 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 ... Asia, the Group offers a range of commercial and investment banking services to its corporate , institutional,...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… more
- JPMorgan Chase (Jersey City, NJ)
- 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 ... customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...& Business Management team supports the firm's Chief Risk Officer , RM&C Chief Financial Officer , and the… more
- SMBC (Jersey City, NJ)
- …of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate , institutional, and municipal clients. It ... its employees. **Role Description** SMBC Group is seeking a Compliance Transformation Officer for the Compliance...several key compliance risk types, including consumer compliance , investment banking related compliance ,… more
- JPMorgan Chase (New York, NY)
- …will be crucial to your success in this position. CTC Description: The Firm's Corporate Treasury function and the Chief Investment Office (together referred to ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...risk of the retained portfolio generated from the Chief Investment Office, Global Treasury, and other Corporate … more