• Compliance Specialist( Trade

    ManpowerGroup (Charlotte, NC)
    **Job Title:** Trade Surveillance Analyst **Location:** Charlotte, NC **Industry:** Financial Services **Contract Terms** : Long term contract (12+ months) One ... Financial Service Clients has a new opportunity as a Trade Surveillance Analyst opportunity. If you are...responsibility/Current Project and Timeline:** + This group sits within Corporate Risk and supports the Global Control Compliance more
    ManpowerGroup (03/20/24)
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  • Compliance Business Officer…

    SMBC (New York, NY)
    …of key Compliance teams, including electronic communications surveillance , trade surveillance , regulatory registrations, personal-account-dealing ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...experience in the financial services industry, with background in Compliance surveillance preferred + Bachelor's degree preferred;… more
    SMBC (01/23/24)
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  • Senior Manager Trade Compliance

    Leonardo DRS, Inc. (Germantown, MD)
    …defend the mission, values and culture of the organization + Participate in business and corporate projects focusing on trade compliance + Present data and ... surveillance . **Job Summary** Leonardo DRS is looking for a dedicated Senior Trade Compliance Manager to ensure strict adherence to US export/import… more
    Leonardo DRS, Inc. (01/05/24)
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  • Trade Compliance Classification…

    General Atomics and Affiliated Companies (Poway, CA)
    …General Atomics Aeronautical Systems (GA-ASI) has an exciting opportunity for a Trade Compliance Classification Specialist to join our International Trade ... Control Classification Number (ECCN), and Harmonized Tariff Schedule (HTS) code. The Trade Compliance Classification Specialist will play a critical role in… more
    General Atomics and Affiliated Companies (03/15/24)
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  • Compliance Senior Manager, Control Room

    Raymond James Financial, Inc. (Denver, CO)
    …for Research and Investment Banking associates. * Performs and manages trade monitoring and surveillance activities, including conducting daily reviews, ... and/or certification in securities and/or Fin Tech to administer and manage compliance functions that are specific to the Control Room. Coordinates compliance more
    Raymond James Financial, Inc. (03/01/24)
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  • Summer Intern - Investment Compliance

    Aflac (New York, NY)
    …about all areas of the firm, as well as on-the job training in investment compliance and portfolio surveillance . The Intern will be assigned projects in support ... with a significant overseas operations in Japan and a corporate culture that recognizes and rewards excellence in all...on behalf of Aflac Global Investments -while learning investment compliance and the trade operational workflows for… more
    Aflac (02/24/24)
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  • Senior Compliance Analyst - Mutual Funds

    Aegon Asset Management (Denver, CO)
    …oversight functions covering administration of Code of Ethics (including personal trade surveillance ), regulatory reporting, marketing and due diligence ... LEI filings) + Review marketing and due diligence questionnaire materials + Conduct compliance testing, surveillance , and mock audits + Assist with subadviser… more
    Aegon Asset Management (02/21/24)
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  • Compliance Manager

    Love's Travel Stops & Country Stores (Houston, TX)
    **Req ID:** 433477 **BASIC PURPOSE** : Manage and lead Musket and Trillium's trade surveillance and compliance programs. **MAJOR RESPONSIBILITIES:** + Work ... closely with trading, legal, risk, and accounting to ensure compliance with laws and regulations + Manage the continuous...the review, analysis, and reporting of results from internal trade surveillance system(s) + Respond to and… more
    Love's Travel Stops & Country Stores (03/21/24)
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  • Sr Compliance Analyst

    Love's Travel Stops & Country Stores (Houston, TX)
    …PURPOSE** : Provide advanced analysis and essential to Musket and Trillium's trade surveillance and compliance programs. **MAJOR RESPONSIBILITIES:** + ... closely with trading, legal, risk, and accounting to ensure compliance with laws and regulations + Develop and continuously...the review, analysis, and reporting of results from internal trade surveillance system(s) + Respond to and… more
    Love's Travel Stops & Country Stores (03/21/24)
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  • Senior Manager, Markets Compliance Officer

    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 ... presence provides our clients an important bridge to this key global market for trade and investment flows across the Americas and the world. Global Banking &… more
    Scotiabank (03/25/24)
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  • Compliance Risk Supervising Examiner

    Federal Reserve System (New York, NY)
    …The Compliance Risk Supervising Examiner will serve as the corporate compliance risk expert responsible for examinations, continuous monitoring, and ... include but are not limited to evaluating the firm's corporate compliance function, compliance framework,...training, audit and change management. + Experience in assessing trade surveillance and market conduct risk programs… more
    Federal Reserve System (02/09/24)
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  • Director of Compliance Technology

    SMBC (White Plains, NY)
    …expertise in Compliance technology including Transaction Monitoring, KYC, Trade and Communications surveillance , Fraud, Employee Trading, and/or Sanctions ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects a diverse… more
    SMBC (03/26/24)
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  • Head of Employee Compliance - Director

    SMBC (New York, NY)
    …for optimized efficiency and productivity + Set strategic priorities with the Head of Compliance Surveillance to identify areas of focus and identify metrics for ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects a diverse… more
    SMBC (02/08/24)
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  • CIB COO - Senior Business Supervisory Officer

    Wells Fargo (Charlotte, NC)
    …or Electronic Trading to provide expertise to key aspects of the Firm's Trade Surveillance Framework in the First Line. The successful candidate will ... all begins with you. **About this role:** Wells Fargo Corporate and Investment Banking (CIB) COO division has multiple...and wider organization including but not limited to communications surveillance , trade surveillance , conflicts of… more
    Wells Fargo (03/23/24)
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  • Financial Intelligence Unit Associate

    SMBC (White Plains, NY)
    …The FIU Associate is responsible for the delegation and oversight of day-to-day compliance efforts related to transaction surveillance . This may include the ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...VP, the FIU Associate is responsible for the day-to-day compliance efforts related to transaction surveillance , including… more
    SMBC (02/13/24)
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  • Sr Program Manager - Interiors

    Sierra Nevada Corporation (Dayton, OH)
    …in a fast paced and rewarding organization? Join us! The ISR (Intelligence, Surveillance & Reconnaissance), Aviation, and Security (IAS) business area is a leader in ... systems. Our end-to-end Command, Control, Computers, Communications and Intelligence, Surveillance & Reconnaissance (C4ISR) capabilities encompass design, integration, test,… more
    Sierra Nevada Corporation (02/20/24)
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  • Contracts Manager

    Parker Hannifin Corporation (North Hollywood, CA)
    …with multiple business units, sales strategy and marketing, and group legal and trade compliance teams. + Maintains and owns the Customer/ Program relationship ... + Related contracting courses in government, commercial and international contracting, trade compliance , leadership, management, and program management desired… more
    Parker Hannifin Corporation (03/21/24)
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  • Fixed Income Portfolio Mgr. - SLC

    Zions Bancorporation (Salt Lake City, UT)
    …to join the downtown SLC team. This position is part of the Corporate Investments & Liquidity Management Team within Zions Wealth Management. This division is ... a broad understanding of money market instruments including commercial paper, corporate floating rate and fixed-rate bonds, municipal bonds, agencies and Treasuries.… more
    Zions Bancorporation (02/03/24)
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  • Financial Intelligence Unit Analyst

    SMBC (White Plains, NY)
    …Unit (FIU) Analyst is responsible for the completion of more complex day-to-day compliance efforts related to transaction surveillance or the quality control of ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...range of commercial and investment banking services to its corporate , institutional, and municipal clients. It connects a diverse… more
    SMBC (03/15/24)
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  • DoD SkillBridge - Program Manager (Active Duty…

    Sierra Nevada Corporation (Lone Tree, CO)
    …tools, & guidelines for program documentation & execution * Experience with ensuring compliance with approved Corporate and ISO 9001:2000 Policies and Processes ... You will participate in business resource planning/tracking in coordination with other corporate entities and responsible to formulate a team that can fulfill… more
    Sierra Nevada Corporation (01/17/24)
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