- Usaa (Chesapeake, VA)
- …be positioned in the first line of defense to ensure the overall effectiveness of risk and compliance management programs, risk analytics and operations in ... the business. This role will partner and collaborate with Compliance and Risk Management, as well as...life insurance, parental benefits, adoption assistance, paid time off program with paid holidays plus 16 paid volunteer hours,… more
- Ally (Annapolis, MD)
- …Property, and join a team of experienced lawyers that supports Ally's Technology, Risk , and Compliance functions, and its various Business Lines. **The Work ... initiatives. * Serve as a trusted and valued legal adviser to the Technology function, including its Information Protection...and Tech Strategy groups, as well as the associated Risk and Compliance functions, and Ally's various… more
- Wellington (Boston, MA)
- …The Compliance Senior Analyst will support Wellington Management's Americas compliance program , focusing primarily on the rules and regulations governing ... Americas Core Compliance team within the Legal, Compliance and Risk Group. Responsibilities + Lead...coordinated outcomes Qualifications + 3+ years of relevant investment adviser compliance experience + Familiarity with Investment… more
- City National Bank (New York, NY)
- …will also be responsible for managing and maintaining assigned areas of the compliance program including monitoring business area compliance with applicable ... and ensuring effective controls are in place to mitigate compliance risk . Maintaining regulatory change management, policies...* Minimum 7 years of compliance , regulatory compliance with respect to registered investment adviser … more
- T. Rowe Price (Owings Mills, MD)
- …as needed. Provides customized work plans, documentation templates, and detailed compliance risk assessments. Collaboratively develops the strategic direction ... The position will contribute to the success of client compliance reporting and multiple risk and ...program in place. + Manages projects from a compliance perspective that span months and quarters (sometimes years);… more
- Wellington (New York, NY)
- …and drafting of applicable policies and procedures + Support Wellington's private investments compliance program regulatory risk areas including those that ... Analyst will support Wellington Management's Global Private Investments Compliance program , focusing on information controls. As...Private Investments Compliance team within the Legal, Compliance & Risk Group, working closely with… more
- Aegon Asset Management (Denver, CO)
- …* For more information, visit transamerica.com . Job Description Summary Perform strategic compliance risk program design and oversight of investment and ... oversight to risk manager relating to the operational, liquidity, and derivatives compliance risk programs designed to comply with the Investment Company Act… more
- GE Vernova (New York, NY)
- … risk . _Regulatory Compliance Adherence_ : Execute an effective risk -based compliance program across FS' global regulated business activities, ... products and services + Registered Investment Adviser Obligations: Assess compliance obligations and execute...Financial Crime Compliance laws, regulations, controls and program requirements across Compliance Risk … more
- City National Bank (New York, NY)
- …processes are in place for the appropriate oversight, tracking and reporting of compliance program risks that includes an internal control structure, new ... change management, risk assessments, issues management, and monitoring and reporting. * Compliance Risk Management Division* This is a great opportunity to… more
- Wellington (Boston, MA)
- … Compliance Analyst will support Wellington Management's global investment & trading compliance program , focusing primarily on compliance support to ... markets. The individual will also support elements of the compliance program related to material non-public information,... Analyst will be a member of the Legal, Compliance and Risk Group, report directly to… more
- HUB International (New York, NY)
- … compliance and operational SEC efficiencies to enhance the day-to-day SEC compliance program . **Responsibilities:** Compliance + Aid in the ... senior leadership position, reporting directly into the Global/Executive Chief Compliance and Risk Officer, working closely with...the federal securities laws such as the SEC Investment Adviser Act of 1940; + Assist in conducting ongoing… more
- JPMorgan Chase (Tampa, FL)
- …the box, challenging the status quo and striving to be best-in-class. As a Compliance Risk Management Lead, within the Asset & Wealth Management CCOR, you ... Bring your expertise to JPMorgan Chase & Co's Compliance , Conduct and Operational Risk (CCOR),...will support the marketing compliance program by providing diligent oversight, coverage,… more
- Guardian Life (New York, NY)
- …affiliated broker-dealer and investment adviser entities. + Assist with the Firm's Compliance testing program and the review and maintenance of related ... processes and procedures are implemented to mitigate and reduce risk to the firm, its clients, and the firm's...data analytic initiatives and thinking to improve the overall compliance program effectiveness and efficiencies. **You have**… more
- Texas A&M University System (Canyon, TX)
- …for identified students, and facilitate assessment of programming provided. This adviser coordinates the University Early Program geared to supporting ... in all advising and registration activities of Advising and Transfer Services. This adviser will serve as the College of Nursing and Health Sciences liaison and… more
- Wellington (Boston, MA)
- …the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a ... firms. With US$1 trillion in assets under management, we serve as a trusted adviser to institutional clients and mutual fund sponsors in over 60 countries. Our… more
- Wellington (Boston, MA)
- …the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a ... of 30 September 2018, we serve as a trusted adviser to institutional clients and mutual fund sponsors in...cost-effective market data solutions while ensuring operational excellence and compliance . The ideal candidate will bring deep expertise in… more
- Aristotle Capital Management (Los Angeles, CA)
- …full lifecycle of standard collateral (intake → content gathering → layout → compliance review → delivery). + Track and prioritize the production queue, report ... analytical eye to spot errors or inconsistencies. + Coordinate with Compliance /Legal on disclosures, approvals, and regulatory requirements. + Implement workflow… more
- AECOM (Detroit, MI)
- …to develop technical solutions, pricing, team definition, subcontractor engagement, internal risk review, and compliance procedures. + Drive (outline, supervise, ... of over 50,000 planners, designers, engineers, scientists, digital innovators, program and construction managers and other professionals delivering projects that… more
- AECOM (Los Angeles, CA)
- …development (incl. technical writing), pricing, team definition, subcontractor engagement, internal risk review, and compliance procedures. + Creating pitch ... of over 50,000 planners, designers, engineers, scientists, digital innovators, program and construction managers and other professionals delivering projects that… more
- Quantexa (Virginia Beach, VA)
- …guiding DevOps team approaches, embedding automated security testing, consolidating compliance checks, and influencing design standards that support secure ... posture findings. You will work with stakeholders to review architectural risk , conduct threat modelling, and support operational response to emerging issues.… more
