- T. Rowe Price (Baltimore, MD)
- …We invite you to explore the opportunity to join us and grow your career with us. Head of Investment Compliance Role Summary: The Head of Investment ... a consistently high level of quality for all accounts across the globe. The Head of Investment Compliance is a global lead position and will set the vision… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Head of Capabilities & Data Science within our Corporate & Investment Bank. The Capabilities & Data Science Lead ... and deployment of advanced data science tools and capabilities across the investment bank. + Actively identify and evaluate new data technologies, including… more
- T. Rowe Price (Baltimore, MD)
- …business objectives. + Strategic vision and demonstrated success in transforming an investment compliance function and building a framework for consistency ... for setting compliance standards and enhancing the compliance framework for T. Rowe Price's investment ...Mutual Funds and for the main US advisors. The Head of Compliance , North America will provide… more
- Neuberger Berman (New York, NY)
- …and team members as it relates to determining whether investments are permissible in investment portfolios. The Head of AMGO will provide oversight across all ... Aladdin, Charles River, Investor Tools, and Eze Castle). The Head of AMGO will utilize their experience and expertise...Operational Risk and Client Service as it relates to investment guideline compliance issues + Oversee all… more
- Wellington (Chicago, IL)
- …that aligns our perspectives with those of our clients. **About the Role** The Head of Private Credit Compliance will support and provide leadership to ... Private Investments Chief Compliance Officer, working closely with other compliance professionals and attorneys. **Responsibilities** The Head of Private… more
- Scotiabank (New York, NY)
- …SCUSA CCO, Head of Broker Dealer & Corporate Functions Compliance **Requisition ID:** 199204 **Salary Range:** 174,700.00 - 286,000.00 _Please note that ... Compliance Officer for the US broker dealer and Head of Corporate Functions Compliance , The role...at least 5 years of experience managing an advisory compliance team supporting trading and/or investment banking… more
- Vanguard (Malvern, PA)
- …with and influence the strategic direction of the testing and monitoring team. The Compliance Manager, Head of Fund & Advisor Inspections: + Hires, evaluates, ... related work experience, with at least two years within a financial services compliance function. Regulatory, compliance , investment , or auditing experience… more
- Takeda Pharmaceuticals (Boston, MA)
- …compliance in the design on the products and platforms. **ROLE SUMMARY** This role, ** Head of Digital Ethics & Compliance - Global Portfolio Division** , is ... embrace the digital future, the integration of ethics and compliance within our technological advancements is paramount. To realize...as a plus. **WHAT TAKEDA CAN OFFER YOU:** No investment we make pays greater dividends thank taking good… more
- Takeda Pharmaceuticals (Boston, MA)
- …and the comfort of working at home. **THE OPPORTUNITY** **Digital Ethics & Compliance (DE&C) is part of E&C organization and focuses on what the organization ... and partner with GD&T stakeholders to embed ethics and compliance as part of the way everyone works at...design on the products and platforms. **DE&C by Design Head ** assumes a strategic and transformative leadership position tasked… more
- SMBC (New York, NY)
- …procedures for optimized efficiency and productivity + Set strategic priorities with the Head of Compliance Surveillance to identify areas of focus and identify ... its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects… more
- Charles Schwab (Westlake, TX)
- …through multiple regulated entities, and require facility with multiple compliance subject matter disciplines, including broker/dealer, investment adviser, ... themselves, and our clients, create a better future. Director, Schwab Compliance , Compliance Reporting is an important leadership role within Schwab … more
- TD Bank (Chicago, IL)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** 190,000 - 250,000 USD TD is committed to providing fair ... for this role **Job Description:** **Position Summary** Candidate must have compliance advisory experience with background in electronic trading, some Municipality… more
- CIBC (Boston, MA)
- …Regulation 9 investment review process and the administration of the investment compliance restrictions and rules for client portfolio management. This role ... institution based in Toronto, Ontario, Canada. JOB PURPOSE The Head of Portfolio Oversight is a senior role on...managed accounts across the firm + Develop and implement investment oversight and monitoring processes to ensure compliance… more
- Vanguard (Malvern, PA)
- …Ensures all steps are taken to mitigate risk and maintains control, compliance , audit, and legal requirements. + Builds and maintains strategic relationships across ... all investors, to treat them fairly, and to give them the best chance for investment success. How We Work Vanguard has implemented a hybrid working model for the… more
- T. Rowe Price (Baltimore, MD)
- …policies, ensuring compliance with data protection regulations . Impact The Head of Data Architecture plays a transformative role across the organization by ... are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can..., consistent, and accurate fit-for-purpose data. The Role The Head of Data Architecture reports to the Head… more
- Neuberger Berman (New York, NY)
- Neuberger Berman is seeking a Head of Treasury for the NB Alternatives platform. This role represents an opportunity to be an initial member in the build out of the ... centralized treasury team supporting the overall NB Alternatives platform. The Head of Treasury will report into the Chief Financial Officer for NB Alternatives.… more
- Citigroup (Getzville, NY)
- …Our Operations groups are core to the success of the Markets and Investment Banking businesses and have significant impact across the lifecycle of a trade. ... stakeholders including Front Office Sales and Trading Desks, Banking Deal teams, Compliance , Legal, Finance and HR; alongside having significant interaction with our… more
- Manulife (Boston, MA)
- …**The Opportunity** This role is within the marketing organization of Manulife Investment Management, the global brand for the global wealth and asset management ... and lives better by empowering investors for a better tomorrow. Manulife Investment Management serves more than 17 million individuals, institutions, and retirement… more
- MassMutual (Boston, MA)
- …and expanding capabilities for our Financial Advisor salesforce of ~7,000 advisors. The Head of Business Governance will lead efforts to identify and mitigate risks ... advisor-friendly as possible. They will partner with our field risk management unit, compliance and law, as well as supervisory officers at our General Agencies… more
- SMBC (New York, NY)
- …its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects ... portfolio of benefits to its employees. **Role Description** The Head of Conflict of Interest (CoI) management for the... of Conflict of Interest (CoI) management for the Compliance Department plays a pivotal role in ensuring the… more