- Morgan Stanley (New York, NY)
- …Morgan Stanley sponsored benefit programs. **Job:** ** Compliance * **Title:** * Equity Sales & Compliance Officer * **Location:** *New York-New York* ... best practices. Primary Responsibilities This individual will provide advisory compliance support for ISG Equity Sales and Trading, covering derivatives and … 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
- Wells Fargo (Charlotte, NC)
- …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)
- 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 ... and equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives,… 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
- 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
- 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
- Philips (Plymouth, MN)
- **Business Compliance Officer , Image Guided Therapies (IGT):** Your role will be to apply the elements of an effective compliance program with the end goal ... business operating in North America. **Your role:** + Develop and update compliance programs, policies, and procedures to ensure adherence to federal laws and… more
- US Bank (Charlotte, NC)
- …exchange, debt origination, debt underwriting and sales and trading. The Compliance Control Room Officer is responsible for assisting the Control Room ... **Job Description** Partners with their assigned Line of Business, other Risk/ Compliance /Audit (RCA) professionals, and RCA Managers to, depending on their function,… 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, ... Nov 29, 2024 Location: San Juan-Santurce, PR Company: Popular Workplace Type: Hybrid HR Officer | Compensation General Description As an HR Officer in the… more
- Anywhere Real Estate (Houston, TX)
- …Anywhere Integrated Services, is seeking an **Associate Branch Manager/Escrow Officer .** Anywhere Integrated Services is a full-service title, settlement, ... instill high customer service levels and expectations + Manage compliance within the branch with regard to company policies...when they want to speak to a manager **Escrow Officer Duties:** + Working closely with clients to accomplish… more
- SMBC (New York, NY)
- …Summary** The Nikko Securities America, Inc. middle/back office Business Control Officer is a business-aligned change agent and risk management individual ... Business Unit interaction with 2nd LoD functions including Risk Management and Compliance . **Scope** The Nikko Securities America, Inc. Midback Business Control … more
- Evolv Technology (Waltham, MA)
- …Are you skilled in overseeing complex financial operations while implementing SOX 404(b) compliance ? Evolv is seeking a Chief Accounting Officer (CAO) to lead ... our accounting and reporting functions, establish robust financial controls, and ensure compliance with US GAAP and SEC regulations. In this role, you will be… more
- Wells Fargo (Columbus, OH)
- …this role:** Wells Fargo is seeking a Diverse Segments Business Development Officer (Lead Business Development Representative) for the Great Lakes Middle Market ... Development group requiring solid understanding of relevant policies, procedures, and compliance requirements that influence and lead team to meet deliverables and… more
- Wells Fargo (Cincinnati, OH)
- …role:** Wells Fargo is seeking a Middle Market Business Development Officer (Lead Commercial Banking Business Development Representative) for the Northern Kentucky ... Development group requiring solid understanding of relevant policies, procedures, and compliance requirements that influence and lead team to meet deliverables 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 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
- BECU (WA)
- …BECU Benefits can be found here . **IMPACT YOU'LL MAKE:** As a Mortgage Loan Officer - Member Direct Mortgage Sales , you'll be the trusted partner members turn ... real property lending, with a particular focus on first mortgage and home equity loans. + **Meet Service Standards:** Achieve telephone service level targets by… 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