- Insight Global (Dallas, TX)
- …Insight Global is seeking to hire an experienced and detail-oriented Deputy Chief Compliance Officer for a global investment firm focused in the fintech ... space. The Deputy CCO is to support the Chief Compliance & Legal Officer in overseeing and...FINRA systems (eg, CRD, Firm Gateway). *Familiarity with compliance technology platforms such as Global Relay and … more
- SMBC (New York, NY)
- …findings or recommendations; + M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member + Coordinate with relevant ... the Regulatory Governance team is responsible for production of Annual Compliance Reports and related senior officer certifications. **Responsibilities:** +… more
- KeyBank (OR)
- **Location:** For Those Who Work At Home, Washington **Job Summary** The Compliance Officer plays a key role in ensuring Key Investment Services LLC meets ... is conducting branch inspections, though this role also involves providing compliance training, drafting and updating policies, providing advice and guidance to… more
- Zions Bancorporation (Salt Lake City, UT)
- …the talent; we bring the opportunity. **We are currently seeking a** **Risk and Compliance Testing Officer ** **within the Market, Liquidity, Wealth Risk & ... Team.** **Description** A Market, Liquidity, and Wealth Risk & Compliance (MLW) Testing Officer works closely with...management oversight. + **Willing to sit for and pass FINRA Series licenses such as 7, 24, 52, 53,… more
- TD Bank (New York, NY)
- …Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer (Associate-level) to join the Surveillance Data Quality Team. The ... Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a… more
- MUFG (Irving, TX)
- …details. **Summary:** As part of the International Compliance Training Team, the Compliance Training Program Officer (FCTPO) for the Americas will be charged ... the region and will report directly into a Global Financial Crimes Training Program Officer (GFCTPO) and the Global Core Compliance Training Program Officer … more
- Bloomberg (New York, NY)
- Compliance - US Bank Secrecy Act (BSA) Officer - New York Location New York Business Area Legal, Compliance , and Risk Ref # 10047869 **Description & ... compliance programs for the Americas. The BSA AML Officer will be responsible for ensuring compliance ...(experience with AML /BSA programs in US broker-dealers) * FINRA Series 7 and 24 registrations * Strong presentation… more
- Insight Global (New York, NY)
- Job Description The Compliance Officer will work closely with the members of a team focusing on regulatory compliance issues with respect to marketing and ... other investor/third party materials and communications. The Compliance Officer will serve as the primary...and International regulatory standards * Analyze marketing material for compliance with regulatory standards including, SEC, FINRA … more
- MUFG (Irving, TX)
- …(GFCD) HQS Technology team. This position will support the Bank's GFCD compliance program, specifically focusing on the development and maintenance of Standards, ... procedures and guidelines supporting Financial Crimes Compliance (FCC) and Core Compliance (CC) systems supporting primarily Sanctions, Know Your Customer (KYC),… more
- MUFG (Irving, TX)
- …Delivery (DIA-ID) team, which is part of the GFCD Operations Financial Crime Compliance - Data Analytics (FCC-DA) function, this new position has been created for ... in business intelligence or data analytics, preferably in Financial Crime compliance , internal to MUFG, another global financial institution or FinTech firm.… more
- KeyBank (Brooklyn, OH)
- …Regulatory Management role is direct report of the Key Investment Services (KIS) Chief Compliance Officer who is responsible for leading a small team within a ... will also be responsible for various projects to improve efficiencies. The Senior Compliance Manager sits in the second of defense. Incumbents are known internally… more
- ADP (Florham Park, NJ)
- … compliance platform by associates. + Obtain approval from the Chief Compliance Officer for associate financial accounts and notify financial institutions of ... coordination with internal teams, external vendors, and regulatory authorities to maintain compliance with FINRA and state regulatory requirements. The ideal… more
- Cleveland Research Company (Cleveland, OH)
- … Associate is a key resource for the firm by assisting the Chief Compliance Officer in identifying and mitigating potential conflicts and risks associated with ... internal department training sessions and client webinars for any Compliance questions + Assist with FINRA exams as applicable + Assist with annual compliance… more
- City National Bank (Los Angeles, CA)
- *INVESTMENT RELATIONSHIP OFFICER * WHAT IS THE OPPORTUNITY? Assist Financial Advisors by providing day to day client support and operational service on all CNS ... investment vehicles. * Comply with and conform to all compliance and regulatory requirements of all regulatory authorities and...Broker Dealer or in an investment management environment. * FINRA Series 7 and 63 and 65 or 66… more
- Robert Half Legal (Charlotte, NC)
- …make an impact but also build toward a clear path to becoming a Chief Compliance Officer (CCO)! Compensation Highlights: ✨ Competitive salary paired with a bonus ... growth with mentorship from the General Counsel & Chief Compliance Officer + Exposure to diverse aspects...global fundraising requirements + Opportunity to master tools like FINRA IARD and regulatory filings like Form ADV and… more
- T. Rowe Price (Owings Mills, MD)
- … compliance requirements. + Responsible for drafting quarterly and annual chief compliance officer reporting under Rule 38a-1 and Rule 206(4)-7 and overseeing ... to you . Role Summary Partners with internal clients to implement strategic compliance initiatives for T. Rowe Price's proprietary and subadvised 40 Act products… more
- Charles Schwab (Southlake, TX)
- …to work on site in the specified location(s). The Business Information Security Officer (BISO) is a subject matter professional (SMP) within the Technology Risk & ... Cybersecurity Compliance (TRACC) team under the Schwab Cybersecurity Services (SCS)...and evidence is complete. + Support alignment with SEC, FINRA , OCC, FFIEC, and other regulatory expectations. 1. **Cyber… more
- Dunham & Associates Investment Counsel, Inc. (Las Vegas, NV)
- TRUST OFFICER Our affiliate, Dunham Trust Company (DTC), located in Reno, NV is looking for a Trust Officer in DTC's Las Vegas location. DTC provides ... in Las Vegas, Wyoming, and Colorado. The DTC Trust Officer is responsible for the coordination of services and...to ensure proper tax planning; + Ensure all internal compliance and proper documentation requirements are met, consistent with… more
- PNC (San Diego, CA)
- …opportunity to contribute to the company's success. As a(n) Supervising Mortgage Loan Officer within PNC's Mortgage organization, you will be based in San Diego, CA ... Manages daily loan activities of a small, high performing Mortgage Loan Officer team. + Manages a portfolio of customer relationships. Seeks prospective… more
- PNC (Richmond, VA)
- …in STEM OPT for this position. **Job Description** **Title: Chief Technology Officer ** **Location:** Richmond, VA Harris Williams is a leading investment bank ... M&A and Private Capital advisory. We seek an exceptional **Chief Technology Officer (CTO)** to design and accelerate our technology transformation. This leader will… more