- Truist (Richmond, VA)
- …**Please review the following job description:** Responsible for conducting and directing compliance risk oversight of assigned business units ( Broker Dealer) ... and Analysts. 8. Partner with LOB leaders and other senior Truist teammates to execute on key strategic initiatives...Qualifications:** + Series 7 & 24 registered + Demonstrated Broker Dealer compliance experience + Proven … more
- Capital One (New York, NY)
- NYC 299 Park Avenue (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 ...applicable rules + Providing effective challenge and guidance on compliance risks and supporting senior management through… more
- Capital One (Mclean, VA)
- … Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer . This role will support three ... 2 (19050), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior... Manager will work independently from the CBD Chief Compliance Officer to manage a team of… more
- Scotiabank (New York, NY)
- …We work together to drive ambition for every future! **Purpose:** Acts as the Chief Compliance Officer for the US broker dealer and Head of Corporate ... Director, SCUSA CCO, Head of Broker Dealer & Corporate Functions Compliance ...and procedures. + Performs the duties of a Chief Compliance Officer , as required by FINRA and… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- Bloomberg (New York, NY)
- Senior Compliance Officer - Bloomberg...A bachelor's degree + A minimum of 7 years compliance experience with a regulator or broker dealer ... up to you to make it happen. **What's the role?** Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around… more
- 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 ... compliance framework for PAS as a dually registered broker -dealer and investment adviser. The incumbent will lead the...and other regulations, and ensure our organization remains in compliance . The Chief Compliance Officer … more
- Wells Fargo (St. Louis, MO)
- **About this role:** Wells Fargo is seeking a Senior Lead Control Management Officer for our Wealth and Investment Management Control team. Reporting directly to ... Strong functional background in the Wealth and Investment Management business, including broker dealer activities. + Risk and Control Self- Assessment (RCSA) and… more
- Bloomberg (New York, NY)
- SEF Compliance Surveillance Lead and Advisory Compliance Officer - Legal & Compliance **New York, NY** Posted Apr 25, 2024 - Requisition No. 124842 The ... We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF ...+ A track record of working with and advising senior business people on compliance matters +… more
- Morgan Stanley (Baltimore, MD)
- … Group within the Legal and Compliance Division (LCD) is seeking a senior Compliance Officer responsible for providing advice and guidance to business ... **Job:** ** Compliance * **Title:** *Wealth Management Digital Direct Compliance Officer * **Location:** *Maryland-Baltimore* **Requisition ID:** *3248035*… more
- Citigroup (New York, NY)
- …with Prudential Bank Regulations. The role will interact extensively with senior management across the Global Equities business, central Markets teams, Independent ... Compliance Risk Management, Internal Audit, Bank Regulatory Legal and participate in updates to Senior Management. The role requires the individual to have a… 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 ... and certifications and attestations. This position reports to the Head of Employee Compliance in the SMBC Americas Division. **Role Objectives** + Play a lead role… more
- Tiburcio Vasquez Health Center (Hayward, CA)
- As a member of the Executive Team, and reporting to the Chief Executive Officer , the Chief People Officer (Chief HR Officer ) is directly responsible for the ... set of controls for the performance of the TVHC workforce. The Chief People Officer (CPO) designs and implements strategies to recruit and develop an agile and… more
- Principal Financial Group (Des Moines, IA)
- …industry experience, with significant experience in senior level roles in broker dealer and investment advisor compliance , risk, operations, technology or ... trustees, companies sponsoring retirement plans and more. As the Chief Supervision Officer , you will report directly to Principal Securities, Inc's President and… more
- Citigroup (New York, NY)
- The Business Risk Officer / Supervisory Principal is a strategic professional who stays abreast of developments within own field and contributes to directional ... supervisory issues + Review and pre-trade approval of designated bank-channel and broker -dealer investments + Interface, consult with and escalate to Senior … more
- FirstBank PR (PR)
- …- Provide conclusions and new ideas derived from the research and analysis to the Senior Investments Officer and Treasurer - Analyze and perform buy and sell ... Investments and Treasury Officer Our Company At FirstBank PR, we strive...fixed income securities at an institutional level, subject to compliance with policy guidelines and Committees approvals. - Conduct… more
- HUB International (Chicago, IL)
- …of excellence. HUB is the 5th largest global insurance and employee benefits broker , providing a boundaryless array of property, casualty, risk management, life and ... and acquisitions. **SUMMARY OF** **RESPONSIBILITIES** : The HUB **Chief Marketing Officer (CMO), Specialty Practices** is responsible for developing and executing a… more
- City National Bank (Los Angeles, CA)
- **MANAGER COMPLIANCE PROGRAM SENIOR ** **WHAT IS THE...and tasks as may be required by the Chief Compliance Officer . + Maintain a broad ... of Compliance Program is responsible for leading a team of compliance professionals in developing, implementing, and enhancing the CNB compliance program.… more
- City National Bank (San Francisco, CA)
- ** SENIOR ORGANIZATIONAL BUSINESS CONTROL MANAGER** **WHAT IS THE OPPORTUNITY?** This position will work directly with the City National Bank's ("CNB") Banking and ... Control Officer ("BCO") for Banking and Wealth Management and will assume a pivotal role as a senior advisor and partner to the Risk Framework leadership team.… more
- ElectriCities of North Carolina (Raleigh, NC)
- …of each fund and assist in ensuring that the portfolios are in compliance with governing documents. Updating and maintaining investment guidelines in a timely ... manner, under the direction of the Chief Financial Officer . + Direct the settlement of all purchases, sales and activities of investment securities between the… more