- Guardian Life (New York, NY)
- The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as ... and other regulations, and ensure our organization remains in compliance . The Chief Compliance Officer ...Avenue Securities . Reporting into the PAS Chief Compliance Officer will be a team of… more
- Principal Financial Group (Des Moines, IA)
- …trustees, companies sponsoring retirement plans and more. As the Chief Supervision Officer , you will report directly to Principal Securities , Inc's President ... **What You'll Do** Principal Securities offers a platform of securities ;...and supervises the firm's supervisory program to ensure accurate compliance with FINRA, SEC and state regulatory requirements. What… more
- Morgan Stanley (New York, NY)
- …might be the right team for you. Your Key Responsibilities: As an Institutional Securities Group (ISG) Financial Crimes Advisory Officer in GFC, you will: ... benefit programs. **Job:** **Other* **Title:** *Global Financial Crimes: Institutional Securities Group Financial Crimes Advisory Officer * **Location:** *New… more
- Citigroup (Tampa, FL)
- …daily duties relate and integrate with other teams. . Ensure compliance with entitlements systems request. **Qualifications:** . Bachelor's Degree/University degree ... process. **Job Family Group:** Operations - Transaction Services **Job Family:** Securities and Derivatives Processing **Time Type:** Full time **Primary Location:**… 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 ... portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc....Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to… more
- Centuri Group, Inc. (Phoenix, AZ)
- …be responsible for, at the direction of the CLAO, overseeing the Company's compliance with all securities laws and governance requirements. This position will ... Company's shares are listed and may be responsible for ensuring the Company's compliance with securities laws and exchange listing standards + Administer trading… more
- Ball Corporation (Westminster, CO)
- …to Board. + Advises senior executives on projects and issues relating to securities laws compliance , shareholder services and corporate governance; manages and ... Purpose of this Position:** The Vice President, Corporate and Securities & Assistant Secretary works closely with the Senior...works closely with the Senior Vice President, Chief Legal Officer & Secretary providing legal advice and support on… more
- Comerica (Dallas, TX)
- Securities Paralegal The Securities Paralegal is responsible for compiling, analyzing and presenting information, drafting and reviewing disclosures, and ... otherwise assisting in-house securities counsel regarding public... counsel regarding public communications and regulatory filings in compliance with SEC rules, NYSE rules, state requirements, and… more
- Weill Cornell Medical College (New York, NY)
- Title: Export Controls and Research Securities Manager Location: Upper East Side Org Unit: Environmental Health & Safety Work Days: Exemption Status: Exempt Salary ... position manages and oversees the day-to-day Export Controls and Research Securities activity at WCM. Additionally, the position supports Weill Cornell Medicine's… more
- Danaher Corporation (Washington, DC)
- …domestic minute books) and CT Corporation registered agent and annual filing compliance program; oversight of the design and operation of the Blueprint subsidiary ... and stock award agreements; and supporting Danaher's global equity compensation compliance program, including managing and interfacing with outside counsel with… more
- S&P Global (New York, NY)
- **About the Role:** **Grade Level (for internal use):** 12 **The Role: Compliance Officer ** The Compliance Officer role is based in Englewood or New York ... Officers both in North America and globally, the Compliance Officer will be the primary liaison...for greater opportunity for all. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more
- Capital One (New York, NY)
- …(22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director will be the Commercial ... Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional...Bank of Capital One. The broker-dealers include Capital One Securities , Inc., KippsDeSanto & Co., and TripleTree, LLC (collectively… more
- S&P Global (New York, NY)
- **About the Role:** **Grade Level (for internal use):** 10 **The Role:** Compliance Officer - Control Room **The Team:** Control Room is part of the ... ethics, policies and operating procedures. **The Impact:** As a Compliance Officer in the Control Room you...for greater opportunity for all. S&P Global has a Securities Disclosure and Trading Policy ("the Policy") that seeks… more
- MUFG (Irving, TX)
- …remotely one day. A member of our recruitment team will provide more details. The Compliance Officer will be a member of the Global Corporate & Investment ... Global Corporate & Investment Banking ("GCIB") business unit. Roles and Responsibilities: The Compliance Officer will assist in the management of a robust … 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 ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a **Senior Lead Compliance Officer ** in Corporate Risk as part of **Corporate and Investment Banking (CIB) ... the career areas and business divisions at wellsfargojobs.com . This Senior Lead Compliance Officer will be an individual contributor responsible for evaluating… more
- Morgan Stanley (Baltimore, MD)
- …within the Legal and Compliance Division (LCD) is seeking a senior Compliance Officer responsible for providing advice and guidance to business segments ... **Job:** ** Compliance * **Title:** *Wealth Management Digital Direct Compliance Officer * **Location:** *Maryland-Baltimore* **Requisition ID:** *3248035*… more
- Citigroup (Tampa, FL)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Wealth Independent Assessment Organization's Testing team responsible ... for assessing compliance risks and the related controls implemented by the...and regulations, and specific regulatory requirements within the US securities framework to include SEC, FINRA, MSRB, state insurance.… more
- SMBC (Jersey City, NJ)
- …of benefits to its employees. **Role Description** SMBC Group is seeking a Compliance Transformation Officer for the Compliance Department Americas Division ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...("CPAD"). This team focuses on several key compliance risk types, including consumer compliance , investment… 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 ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more