- Interactive Brokers (Chicago, IL)
- …of their investments. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years. Join our dynamic, multi-national team and be a ... days in the office/2 days remote). Interactive Brokers LLC seeks a Deputy Head of the Anti-Money Laundering ("AML") Financial Intelligence Unit ("FIU") to be located… more
- The Amynta Group (New York, NY)
- …of claims in line with company strategy and regulatory and legal compliance . Technical Claims Handling: Operate within your approved claims authority at all ... deviations occurring only with prior authorization by the relevant Head of Claims. Ensure claims are handled in accordance...case litigation. Maintain accurate claims records to ensure regulatory compliance . Undertake any ad hoc or project work as… more
- JPMorgan Chase (New York, NY)
- …organizations (SRO's), in performing these functions. You will report directly to the Head of the Broker -Dealer & Cash Equities Legal group. The Legal ... Preferred qualifications, capabilities and skills: + Strong experience and familiarity with broker -dealer cash equities legal, regulatory and compliance issues, … more
- MUFG (New York, NY)
- …team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital Management ... directly to the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk management, asset liability… more
- Principal Financial Group (Des Moines, IA)
- …and monitoring of the firm's registered home office supervision program for both broker -dealer and RIA channels. + **Drive Compliance Excellence** : Oversee ... in the financial services industry, with extensive senior-level expertise in broker -dealer and investment advisor compliance , risk management, operations,… more
- Vanguard (Malvern, PA)
- …its growing and evolving service offerings, Vanguard seeks a highly skilled broker -dealer compliance professional to lead strategic compliance activities ... state regulations will complement the required skills. As a trusted leader, the Head of Brokerage Oversight Compliance , will also provide strategic direction to… more
- City National Bank (Los Angeles, CA)
- * HEAD OF CONSUMER LENDING COMPLIANCE * WHAT IS THE OPPORTUNITY? The Head of Consumer Lending Compliance will act in a compliance advisory role ... supporting consumer banking on matters of regulatory compliance . The role will be responsible for managing and...roles, experience with a financial institution such as a broker /dealer and/or registered investment adviser. * For Wealth Management… more
- Knutson Construction (Minneapolis, MN)
- …as one of Minnesota's Top Workplaces! Knutson Construction is accepting applications for a Head of Legal and Risk Management to join our team! "Together We Make ... is ready to welcome a dynamic, strategic, and collaborative leader for the Head of Legal and Risk Management role to provide risk management and in-house… more
- Guardian Life (New York, NY)
- Our Head of Annuity and Retirement Marketing will lead marketing strategy and support for the annuity line of business, reporting to the Head of Product ... execute with excellence. Key stakeholders include Product Development, Distribution, Compliance , Legal, Technology, and outside vendors. **Responsibilities:** + Responsible… more
- AIG (Houston, TX)
- US Head of Power and Renewables Join us as a US head of Power and Renewables to step up to a key team leadership role that will drive business growth. Make your ... power and renewables line. + Responsible for developing strategic client and broker relationships. + Represents AIG at industry events and seeks opportunities for… more
- Broadridge Financial Solutions (Newark, NJ)
- …while helping others along the way, come join the Broadridge team. Reporting to the Head of Corporate Actions and Income Processing based in the UK with a dotted ... industry relationships (C suite) in the Wealth Management industry (front office, compliance , industry organizations and back office). + Proven track record of… more
- SMBC (Jersey City, NJ)
- …the CRA are utilized to drive monitoring and testing activities and to prioritize Compliance and other resources as new emergent risks are identified. This role will ... include conducting compliance risk assessments of certain US legal entities in...will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer; SMBC Group's wholesale… more
- Siemens (Orlando, FL)
- …Experience working with, or for, a law firm, accounting firm, or customs broker in International Trade Compliance Ability to work independently Ability to ... **Job Family:** Tax **Req ID:** 471061 US Customs Compliance Specialist-Business AdvisorHere at Siemens, we take pride...training, and strategic guidance. The position reports to the Head of US Customs Advisors.We are looking for a… more
- AIG (New York, NY)
- …insurance solutions for our global customers, empowering our clients and broker partners to navigate complex cross-border risks with confidence and consistency. ... and in alignment with and support of AIG USA's growth plans/strategies. + Support the Head of Multinational - North America to expand AIG MN's presence in the market… more
- TD Bank (New York, NY)
- …and execution of the annual Compliance Test Plan. + Work closely with the Head of Compliance Monitoring and Testing and the other Compliance Testing ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is...or more years of experience with a registered US broker dealer or regulator. + JD desirable but not… more
- Scotiabank (New York, NY)
- …regulatory audits, risk management, and annual planning for banking and broker -dealers, and assist in successfully executing banking and broker -dealer-related ... verify the adequacy of controls over Finance activities (specifically, banking/ broker -dealers), including financial close, financial and management reporting, booking… more
- ARAMARK (Cleveland, OH)
- …Description** The Executive Sous Chef will provide continuous support to the Head Chef in managing the kitchen efficiently, fostering a well-organized and productive ... Day to day involvement to a high standard, in compliance with client contract. + To fully familiarise yourself...to safety and hygiene must be reported to the Head Chef or unit Manager + To assist in… more
- Atria Wealth Solutions (Marion, IN)
- …+ Maintain Investment Department website. + Ensure the Investment Department is in compliance with FINRA. + Maintain advertising and complaint files as required by ... the FINRA. + Be prepared for compliance audits by the state or Credit Union Service...initiative to improve processes. + Communicate regularly with department head about issues. + Demonstrate flexible and efficient time… more
- Axis (New York, NY)
- …**How does this role contribute to our collective success?** Reporting to the Head of Casualty, North America AXIS Re, the successful candidate will be responsible ... do in this role?** + Originate and underwrite Cyber treaty business in compliance with the appropriate guidelines and within allocated authority while conforming to… more
- AIG (Atlanta, GA)
- …adjusting experience and industry presence in your significant client and broker engagement responsibilities, as well as internal stakeholder reporting requirements ... Aerospace Claim management + Responsible to communicate, update and maintain compliance with established AIG Litigation Claim guidelines, ensure appropriate and… more
