- HUB International (New York, NY)
- …investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a highly visible, senior leadership ... position, reporting directly into the Global/Executive Chief Compliance and Risk Officer , working closely with...in implementing, updating, and maintaining SEC investment advisor and/or FINRA compliance policies and procedures. This means… more
- Wells Fargo (New York, NY)
- **About this role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG) across both Capital ... applicable FINRA , SEC, FRB, and OCC rules. + Provide compliance advisory support for Asset-Backed Securities (ABS) issuance, syndication, and lending activities.… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer to join the CIB Macro Business Aligned Compliance Team. Learn more about the career ... Trading Compliance Team is a Business Aligned Compliance Officer (BACO). The BACO for this...and ability to develop and execute action plans + FINRA Series 7 or 24, or willingness to obtain… more
- Arena Investors LP (Jacksonville, FL)
- …others won't. Arena is looking to expand the team through the addition of a senior Compliance Officer . In this role, this individual will work closely with the ... and regulations; . Experienced reviewing marketing materials in line with SEC and FINRA rules; . Experienced conducting annual compliance reviews; . Experienced… more
- Raymond James Financial, Inc. (New York, NY)
- …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision ... of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic… more
- CIBC (New York, NY)
- …CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for performing important advisory, ... Swap Dealer Compliance program. The Swap Dealer Compliance Officer is primarily responsible for 1)...Experience as a regulatory examiner with SEC, NFA or FINRA (NFA or SEC Examiner of Swap Dealers a… more
- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range shown is ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member...10b-5, securities offering regulations (`33 Act), information barriers, conflicts, FINRA rules such as Rule 2241 and the Global… more
- Marex (New York, NY)
- …For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide ... bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including… more
- City National Bank (Los Angeles, CA)
- …Magnit Global. You will not be employed by City National Bank. *The Opportunity* The Compliance Officer will work closely with the members of a team focusing on ... issues with respect to marketing and other investor/third party materials and communications. The Compliance Officer will serve as the primary day to day contact… 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
- SMBC (Jersey City, NJ)
- …offers a competitive portfolio of benefits to its employees. **Role Description** The Compliance - Functions Control Officer function plays a critical role in ... across the operating environment. **SCOPE** The role will report to Functions Control Officer Lead for Compliance . The incumbent will be responsible for… more
- Huntington National Bank (Columbus, OH)
- …Legal. Basic Qualifications: + Bachelor's degree + Experience as broker dealer Chief Compliance Officer or lead compliance director for investment ... will have knowledge of investment banking and capital markets compliance requirements including relevant FINRA , SEC, OCC...and capital markets compliance requirements including relevant FINRA , SEC, OCC and MSRB rules and regulations with… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is responsible ... **Responsibilities:** + Strong knowledge of and comfort with providing Compliance guidance in relation to applicable FINRA ...providing Compliance guidance in relation to applicable FINRA and SEC rules including REG SHO, 5320, Reg… more
- Truist (Charlotte, NC)
- …and responding to regulatory requests for BD / RIA. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise ... controls to determine gaps. Lead or assist in leading compliance initiatives necessary in implementing changes. 3. Analyze and...3. Experience in complaint resolution and exam management 4. FINRA licensed- Series 7 & 24 **General Description of… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- CHIEF FINANCIAL OFFICER Dunham & Associates Holdings, Inc. and its subsidiaries (collectively, "Dunham") is a thought leader in the financial services industry. The ... solutions and related services. Job Summary: (Purpose of Job) The Chief Financial Officer is responsible and accountable for all aspects of the Company's financial… more
- MUFG (Irving, TX)
- …Strategy and Oversight** , the Vice President, **Head of Financial Crimes and Compliance Human Capital Strategy** , is a critical divisional leader responsible for ... assess global talent + Oversee implementation of Global Job Architecture across Core Compliance and GFCD Globally + Partner with Global HR for staffing matters,… more
- SMBC (Jersey City, NJ)
- …of benefits to its employees. **Role Description** The Regulatory Change Management Officer works with the Regulatory Change Management Team as a Subject Matter ... timely implementation for SMBC. **Role Objectives** The Regulatory Change Management Officer role works with departments across SMBC Americas Division to coordinate… more
- SMBC (New York, NY)
- …**Role Description** The Securitized Products and Capital Solutions Business Control Officer is primarily an individual contributor. The Securitized Products and ... the Coverage and Capital Markets/Structured Finance Solutions Vertical Business Control Officer . **Role Responsibilities** * Leads and provides expert guidance on… more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for the Independent Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform ... Banking Advisory and Capital Markets) as well as Legal and Compliance colleagues regarding Information Barriers, Wall Crossing Procedures, Sensitive Information and… more
- TD Bank (Portland, ME)
- …role. **Line of Business:** Risk Management **Job Description:** The Operational Risk Officer II provides a broad range of operational risk analysis, reporting ... across the business, and represents the business/function on TD Bank Risk Officer Committees or related working group/project teams + Acquires an understanding of… more