- Wells Fargo (St. Louis, MO)
- …SDR), and 3rd party compliance programs. + Business Aligned Compliance Officer (BACO) for the Cross-Asset Sales and Market Strategy Groups, with the ... Officer , you will support the business aligned compliance functions on the Fixed Income Sales ...Value Diversity** At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome… more
- Scotiabank (New York, NY)
- …relationships, systems, and knowledge. + Provide day-to-day compliance support for equities securities trading and sales businesses by advising on the ... Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary...equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income… 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 ... and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives,… more
- Neuberger Berman (New York, NY)
- Chief Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classes and ... strategies ( equity , fixed income, liquid alternatives and private equity...five years' experience in role of senior lawyer with compliance responsibilities, or senior compliance officer… 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...regulatory changes to the taxable fixed income, municipal & equity securities sales & trading, public &… 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...and conduct monitoring of the broker dealers public side sales and trading groups with a focus on all… 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...and conduct monitoring of the broker dealers public side sales and trading groups with a focus on all… more
- Bank of America (New York, NY)
- Senior Treasury Sales Officer New York, New York;Chicago, Illinois **Job Description:** At Bank of America, each day brings innovation and opportunity. We are ... here at Bank of America. Powered by people. Driven by Technology. The Senior Treasury Sales Officer (TSO) is responsible for managing all aspects of the treasury… more
- Truist (Greenville, NC)
- …review the following job description:** Responsible for conducting and directing compliance risk oversight and Regulatory and Investor Change Management impact ... assessments of assigned business units and/or functions. Supports compliance risk management activities such as review of bulletins, control execution (ie Letter… more
- Mackenzie Eason & Associates (Waco, TX)
- …has retained Mackenzie Eason & Associates to help recruit a Destination Development Officer to lead the strategic growth and enhancement of Waco's tourism, sports, ... + Facilitate Economic Development + Create a Culture of Equity and Inclusion + Provide a Safe and Resilient...and visionary leader to become our new Destination Development Officer . This pivotal role is central to elevating Waco's… more
- Banco Popular Puerto Rico (Santurce, PR)
- …Compliance , we assist in the bank's incentive compensation projects to comply with sales practices policy and other compliance and risk regulations. * Define, ... Oct 31, 2024 Location: San Juan-Santurce, PR Company: Popular Workplace Type: Hybrid HR Officer | Compensation General Description As an HR Officer in the… 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 ... tax-exempt fixed income securities as well as equity and fixed income mutual funds, to a highly...investment knowledge as well as a strong understanding of compliance and regulatory issues. Communicate effectively with clients and… more
- Newtown Savings Bank (Bridgeport, CT)
- Location: Bridgeport Newtown Savings Bank is seeking a results-oriented, sales professional to join our Mortgage Banking team as a Mortgage Loan Officer ... This position, under the direction of the VP Residential Lending Assistant Sales Manager, is responsible for the origination of residential mortgage products. This… more
- Neuberger Berman (New York, NY)
- …natural person and entity new accounts, with strategies spanning across asset classes ( equity , fixed income, private equity /credit and hedge funds) with emphasis ... focus on identification, mitigation and resolution of alerts related to IPS Compliance (including but not limited to deviation from asset allocation/risk profiles,… more
- Wells Fargo (Jacksonville, FL)
- …**In this role, you will:** + Prospect companies with annual gross sales between $25MM to$100MM and remain engaged until prospects are successfully converted ... solid understanding of functional area operations, policies, procedures, and compliance requirements with an emphasis on proactive monitoring, governance, risk… more
- SMBC (New York, NY)
- …be responsible to check accuracy of work of the underwriting analyst and compliance to UW guidelines and standards and RACS, meet all internal reporting ... systems of record and maintaining accurate and organized credit files. Support new sales initiatives from a risk perspective. **Risk Management** - Review new and… more
- Scotiabank (New York, NY)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, ... Senior Audit Manager, Compliance Audit (Non-AML) **Requisition ID:** 209949 **Salary Range:**...and procedures. **What You'll Do** + Acts primarily as Officer in Charge (OIC) and leads the planning, execution… more
- Wells Fargo (Charlotte, NC)
- …combination of global Banking, Commercial Real Estate, Capital Markets and Fixed Income and Equities Sales & Trading) **Job Expectations:** + This a hybrid work ... Wells Fargo is seeking a CIB Group Third Party Officer - Senior Business Execution Manager The Corporate and...requirements and remediation of third-party risks, incidents and policy compliance across CIB + Verify proper escalation of third-party… more
- The Walt Disney Company (Lake Buena Vista, FL)
- …all regulations and requirements while ensuring employees are trained and in compliance . + Manages mortgage sales team including setting schedules, approving ... planning, directing, and controlling all aspects of the mortgage sales and Member experience strategy. Leads a team of...best serve the Credit Union and its Members. Ensures compliance with state and federal lending laws. Develops, recommends,… more
- Scotiabank (New York, NY)
- …and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, ... of the team's business strategies and objectives. Serves as Compliance Officer within Bank Regulatory Compliance...Scotiabank's Values, its Code of Conduct and the Global Sales Principles, while ensuring the adequacy, adherence to and… more
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