- City of New York (New York, NY)
- …for 300+ investment managers and consultants. - Assisting the Chief Compliance Officer in maintaining the Agency's Personal Trading Policy, including setting ... managers; only short-term cash is internally managed. The Compliance Officer will work with the Chief...investments . - Assisting the CCO in performing a compliance review of presentation materials such as investment… more
- City of Long Beach (Long Beach, CA)
- AIRPORT NOISE COMPLIANCE OFFICER Print (https://www.governmentjobs.com/careers/longbeach/jobs/newprint/4360623) Apply AIRPORT NOISE COMPLIANCE OFFICER ... the entire region. Long Beach continues to make significant investments in its parks, beaches, streets, and other amenities...the Operations and Facilities Bureau Manager, the Airport Noise Compliance Officer is an at-will officer… more
- University of Pennsylvania (Philadelphia, PA)
- …and wellness programs and resources, and much more. Posted Job Title Regulatory Compliance Officer , Research Integrity Job Profile Title Director D, Research Job ... the Associate Vice Provost for Research (AVPR), the Regulatory Compliance Officer (RCO) has responsibilities related to...or Roth basis. Choose from a wide variety of investment options through TIAA and Vanguard. + Time Away… 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 ... and other regulations, and ensure our organization remains in compliance . The Chief Compliance Officer ...must have a broad knowledge of US broker-dealer and investment advisory compliance , regulated business environments and… more
- City of Boise (Boise, ID)
- Animal Compliance Officer Print (https://www.governmentjobs.com/careers/boiseid/jobs/newprint/4299468) Apply Animal Compliance Officer Salary $17.50 ... + Description + Benefits + Questions Summary Statement Animal Compliance Officer serves as a sworn City...vision options. + Post-employment health savings account. Retirement and Investment Plans: + PERSI retirement benefits + 401(k) or… 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 ... Corporate & Investment Banking ("GCIB") business unit. Roles and Responsibilities: The Compliance Officer will assist in the management of a robust … more
- Raymond James Financial, Inc. (Pittsburgh, PA)
- …, Director of Business Development, Chief Counsel, Chief Information Security and Privacy Officer , Chief Compliance Officer , Associate Compliance ... resolve very complex issues. **Essential Duties and Responsibilities** * Oversees the compliance program(s) for an assigned business entity to ensure compliance … 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...in the field of Control Room Compliance , Compliance Monitoring or Surveillance from an Investment … more
- US Bank (Columbus, OH)
- …company services businesses in the country. Specifically, the role will serve as Chief Compliance Officer for a closed-end fund multiple trust series (Trust) and ... related rules, regulations, guidance, and practices. The position is responsible for: Trust Compliance Officer Duties + Maintaining the Trust's compliance … more
- City of Boise (Boise, ID)
- Parking Compliance Officer Print (https://www.governmentjobs.com/careers/boiseid/jobs/newprint/4228957) Apply Parking Compliance Officer Salary $17.50 ... 4/29/2024 12:00 PM Mountain + Description + Benefits + Questions Summary Statement Parking Compliance Officer facilitates compliance with city and state laws… more
- Morgan Stanley (Purchase, NY)
- …Maintain and update the Compliance policies and procedures. - Support the Chief Compliance Officer with the annual review of the RIA compliance program. ... **Job:** ** Compliance * **Title:** *Wealth Management Institutional RIA Compliance Officer * **Location:** *New York-Purchase* **Requisition ID:** *3248036*… more
- Scotiabank (New York, NY)
- Manager, CIB & Research Compliance Officer **Requisition ID:** 193847 **Salary Range:** 85,700.00 - 159,100.00 _Please note that the Salary Range shown is a ... **Purpose:** Contributes to the overall success of the advisory compliance coverage of the Corporate & Investment ...and Collateralized Loan Obligations (CLO). The CIB and Research Compliance Officer assists in the provision of… more
- Robert Half Legal (Chicago, IL)
- … investment management firm headquartered in Chicago who's looking to hire a Compliance Officer with at least 3-6+ years of experience to join their ... with a financial regulator or previous oversight of a compliance program within a substantial regulated investment ...position will be working on a hybrid WFH schedule. Compliance Officer Responsibilities: + Develop and manage… more
- Vanguard (Malvern, PA)
- As the Chief Compliance Officer of Vanguard Global Advisors and Head of Vanguard Fund and Advisor Compliance , this role provides strategic leadership and ... to drive robust compliance risk management. This role reports to the Vanguard Chief Compliance Officer and is a member of the Compliance Leadership Team.… 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
- Banco Popular Puerto Rico (San Juan, PR)
- …Come and join our community! General Description Popular Inc is seeking a Senior Compliance Officer to join the Regulatory Risk Testing Unit of the Regulatory ... & Financial Compliance Division. The Senior Compliance ...risk of regulatory requirements, including those applicable to non-deposit investment products and fiduciary services. RRT conducts risk-based reviews… 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 ... Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… more
- First International Bank and Trust (Edina, MN)
- Wealth Management Compliance Officer Department: Corporate Location: Edina, MN PT/FT/Temporary : Full Time START YOUR APPLICATION ... years running. We are currently seeking an experienced and detail-oriented Wealth Management Compliance Officer to join our team at First International Bank and… more
- State of Indiana (Indianapolis, IN)
- Sr Contract Compliance Officer Date Posted: Apr 19, 2024 Requisition ID: 442464 Location: Indianapolis, IN, US, 46204 Work for Indiana Begin a fulfilling career ... this mission. Role Overview: In this role, Senior Contract Compliance Officer , you will be responsible for...program financial or budget activities to fund operations, maximize investments , or increase efficiency. + Develop and monitor program… 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 ... Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America,… more