- Truist (Richmond, VA)
- …interact with all levels of management **Preferred Qualifications:** 1. Proven Broker /Dealer product knowledge/expertise 2. Eight years of compliance experience, ... with five years at medium to large financial institution 3. Applicable Broker /Dealer and/or Compliance certifications **General Description of Available Benefits… more
- Capital One (Mclean, VA)
- … Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer . This role will support three ... 2 (19050), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior... Manager will work independently from the CBD Chief Compliance Officer to manage a team of… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Bloomberg...A bachelor's degree + A minimum of 7 years compliance experience with a regulator or broker dealer ... up to you to make it happen. **What's the role?** Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around… more
- HUB International (Columbus, OH)
- …within a rapidly expanding legal and compliance department. The **S** **VP, Compliance and Risk Officer ** , Hub Retirement and Private Wealth ("RPW"), will ... leadership position, reporting directly into the Global/Executive Chief Compliance and Risk Officer , working closely with...Officer , working closely with the RPW and RPW senior leadership to collectively support the growing RPW business… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking ** Senior ** **Lead Compliance Officers** in Corporate Risk as part of **Equity Sales and Trading Compliance .** ... working in a trading floor environment supporting an equities business at a broker -dealer in an advisory function (eg, compliance , business risk and controls… more
- Securities and Exchange Commission (Chicago, IL)
- Summary The Senior Officer -Associate Regional Director position is in the Chicago Regional Office-Division of Examinations, located in Chicago, IL. This position ... and support responsible capital formation through risk-focused strategies that: (1) improve compliance ; (2) prevent fraud; (3) monitor risk; and (4) inform policy.… more
- Securities and Exchange Commission (Chicago, IL)
- Summary The Senior Officer -Associate Regional Director position is in the Chicago Regional Office-Division of Examinations, located in Chicago, IL. This position ... and support responsible capital formation through risk-focused strategies that: (1) improve compliance ; (2) prevent fraud; (3) monitor risk; and (4) inform policy.… more
- Morgan Stanley (Baltimore, MD)
- … Group within the Legal and Compliance Division (LCD) is seeking a senior Compliance Officer responsible for providing advice and guidance to business ... **Job:** ** Compliance * **Title:** *Wealth Management Digital Direct Compliance Officer * **Location:** *Maryland-Baltimore* **Requisition ID:** *3248035*… more
- Bloomberg (New York, NY)
- SEF Compliance Surveillance Lead and Advisory Compliance Officer - Legal & Compliance **New York, NY** Posted Apr 25, 2024 - Requisition No. 124842 The ... We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF ...+ A track record of working with and advising senior business people on compliance matters +… more
- SMBC (Jersey City, NJ)
- …a competitive portfolio of benefits to its employees. **Role Description** The Employee Compliance Officer will join a team that is responsible for implementing ... and certifications and attestations. This position reports to the Head of Employee Compliance in the SMBC Americas Division. **Role Objectives** + Play a lead role… more
- Tiburcio Vasquez Health Center (Hayward, CA)
- As a member of the Executive Team, and reporting to the Chief Executive Officer , the Chief People Officer (Chief HR Officer ) is directly responsible for the ... set of controls for the performance of the TVHC workforce. The Chief People Officer (CPO) designs and implements strategies to recruit and develop an agile and… more
- FirstBank PR (PR)
- …- Provide conclusions and new ideas derived from the research and analysis to the Senior Investments Officer and Treasurer - Analyze and perform buy and sell ... Investments and Treasury Officer Our Company At FirstBank PR, we strive...fixed income securities at an institutional level, subject to compliance with policy guidelines and Committees approvals. - Conduct… more
- City National Bank (Los Angeles, CA)
- **MANAGER COMPLIANCE PROGRAM SENIOR ** **WHAT IS THE...and tasks as may be required by the Chief Compliance Officer . + Maintain a broad ... of Compliance Program is responsible for leading a team of compliance professionals in developing, implementing, and enhancing the CNB compliance program.… more
- Scotiabank (New York, NY)
- Senior Manager, US Finance Audit **Requisition ID:** 201571 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a guideline only. ... **Purpose** Lead and execute Financial and Regulatory Reporting related audits. Senior Manager leads and oversees audit coverage and initiatives, ensuring all… more
- KPMG (San Francisco, CA)
- … License) issued by US Customs and Border Protection, CUSICO (Certified US Import Compliance Officer ), CUSECO (Certified US Export Compliance Officer ), ... **Business Title:** Manager or Senior Manager, Global Trade Technology - SAP GTS...Customs Specialist (CCS) certification issued by the National Customs Broker and Forwarders Association of America, CPA, MBA, EA… more
- CIBC (New York, NY)
- …and relationship-oriented bank for a modern world. **What You'll Be Doing** The US Broker -Dealer Chief Compliance Officer (USBD CCO) and Head of US ... is responsible for overseeing CIBC's US Capital Markets' regulatory compliance program, including the SEC/FINRA registered broker -dealer....second line monitoring program; + Leading a team of senior compliance officers who will assist the… more
- City National Bank (San Francisco, CA)
- ** SENIOR ORGANIZATIONAL BUSINESS CONTROL MANAGER** **WHAT IS THE OPPORTUNITY?** This position will work directly with the City National Bank's ("CNB") Banking and ... Control Officer ("BCO") for Banking and Wealth Management and will assume a pivotal role as a senior advisor and partner to the Risk Framework leadership team.… more
- KPMG (Philadelphia, PA)
- …License) issued by US Customs and Border Protection, CUSICO (Certified US Import Compliance Officer ), CUSECO (Certified US Export Compliance Officer ... **Business Title:** Associate or Senior Associate, Global Trade Technology - SAP **Requisition...such as SAP GTS in their daily trade and compliance activities + Work with clients; business resources to… more
- HUB International (East Longmeadow, MA)
- …This includes researching complex compliance questions, in conjunction with Compliance Officer , when necessary. + Oversees the developmentof client wrap ... HUB International, you become part of the largest privately owned global insurance broker , providing a broad array of property, casualty, risk management, life and… more