- 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
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer for Securities Services Independent Compliance Risk Management (ICRM) responsible ... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating… 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
- 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)
- …Advises the Board and 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
- 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
- Raymond James Financial, Inc. (Pittsburgh, PA)
- …, Director of Business Development, Chief Counsel, Chief Information Security and Privacy Officer , Chief Compliance Officer , Associate Compliance ... Abilities** **Knowledge of** * Concepts, practices and procedures of securities industry and/or banking compliance reviews. *...and procedures of securities industry and/or banking compliance reviews. * Rules and regulations of the … 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
- 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
- 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
- State of Michigan (East Lansing, MI)
- Chief Compliance Officer (State Office Administrator 17) Print (https://www.governmentjobs.com/careers/michigan/jobs/newprint/4500595) Apply Chief ... Compliance Officer (State Office Administrator 17) Salary...legal support in the monitoring, evaluation, and oversight of securities fraud litigation matters, as well as provides legal… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 193881 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... and leverage broader Bank relationships, systems, and knowledge. + Provide day-to-day compliance support for equities and fixed income securities trading and… more
- Scotiabank (New York, NY)
- Manager, Markets Compliance Officer **Requisition ID:** 198261 **Salary Range:** 85,700.00 - 159,100.00 _Please note that the Salary Range shown is a guideline ... the Bank's business strategies and objectives. Assist in providing advice on compliance with governing regulations and Bank internal policies and procedures. **What… 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
- 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
- Amalgamated Bank (New York, NY)
- Amalgamated Bank is seeking a Trust Compliance & Risk Officer to be responsible for the Compliance and Risk Management Program for the Bank's Investment ... the Bank's Investment Management Division/Trust Department + Monitor and ensure compliance with applicable federal and state fiduciary, securities , investment… more