- Equitable (Charlotte, NC)
- Chief Compliance Officer ( 250000CZ ) **Primary Location** : UNITED STATES-NC-Charlotte **Organization** : Equitable **Schedule** : Full-time **Description** At ... potential? Equitable is currently looking to hire a Chief Compliance Officer within Equitable Distributors Compliance...the EDL Compliance team that provides day-to-day compliance support as well as insurance licensing/ FINRA … more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer to support the Personal Account Dealing (PAD) Team in managing and delivering employee ... enhancing program effectiveness, mentoring team members, and promoting a culture of compliance and accountability. Success in this role will be measured by… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer to join the CIB Macro Business Aligned Compliance Team. Learn more about the career ... Trading Compliance Team is a Business Aligned Compliance Officer (BACO). The BACO for this...and ability to develop and execute action plans + FINRA Series 7 or 24, or willingness to obtain… more
- Arena Investors LP (Jacksonville, FL)
- …others won't. Arena is looking to expand the team through the addition of a senior Compliance Officer . In this role, this individual will work closely with the ... and regulations; . Experienced reviewing marketing materials in line with SEC and FINRA rules; . Experienced conducting annual compliance reviews; . Experienced… more
- Scotiabank (New York, NY)
- Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00 - 301,500.00 _Please note that the Salary Range shown is a guideline ... . **What You'll Do** + Acting as a senior compliance officer and Compliance team...evaluating and responding to requests from regulators including SEC, FINRA , NY Federal Reserve, and US Treasury Department. In… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision ... of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic… more
- CIBC (New York, NY)
- …CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for performing important advisory, ... Swap Dealer Compliance program. The Swap Dealer Compliance Officer is primarily responsible for 1)...Experience as a regulatory examiner with SEC, NFA or FINRA (NFA or SEC Examiner of Swap Dealers a… more
- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range shown is ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member...10b-5, securities offering regulations (`33 Act), information barriers, conflicts, FINRA rules such as Rule 2241 and the Global… more
- TD Bank (New York, NY)
- …**Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The team supports ... Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a… more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... regulatory reporting requirements. The position will primarily focus on providing real-time compliance advisory services and serve as the subject matter expert to… more
- Marex (New York, NY)
- …For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will provide ... bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is responsible ... **Responsibilities:** + Strong knowledge of and comfort with providing Compliance guidance in relation to applicable FINRA ...providing Compliance guidance in relation to applicable FINRA and SEC rules including REG SHO, 5320, Reg… more
- JPMorgan Chase (New York, NY)
- …the box, challenging the status quo and striving to be best-in-class. As a Compliance Risk Management Senior Officer within the JPM Wealth Management team and ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...Required qualifications, capabilities, and skills + Knowledge of SEC, FINRA and MSRB rules relevant to securities trading with… more
- US Bank (Chicago, IL)
- …Day One. **Job Description** This position within RSS will serve as the Chief Compliance Officer (CCO) for one of our multiple series trusts (MST) containing ... - Ten or more years of experience in a compliance or financial industry related role, preferably in a...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- PNC (Pittsburgh, PA)
- …opportunity to contribute to the company's success. The Regional Supervision Risk Officer (RSO) reports into PNC Investments, which is a broker-dealer subsidiary of ... PNC Bank. This role works with Compliance , Central Review Desk and Regional Sales Managers to...procedure and the regulatory environment. This role requires the FINRA series 7, 66 (or equivalent 63/65), 24 (or… more
- Truist (Charlotte, NC)
- …and responding to regulatory requests for BD / RIA. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise ... controls to determine gaps. Lead or assist in leading compliance initiatives necessary in implementing changes. 3. Analyze and...3. Experience in complaint resolution and exam management 4. FINRA licensed- Series 7 & 24 **General Description of… more
- M&T Bank (Boston, MA)
- …Inc. is the institutional broker-dealer affiliate of M&T Bank. As a member of our Compliance team, you will serve an important role in promoting a culture of ethical ... conduct and commitment to compliance with securities regulation. You will have the opportunity...questions from firm personnel. + Research and interpret applicable FINRA , SEC, and other SRO rules as applicable to… more
- SMBC (Jersey City, NJ)
- …of benefits to its employees. **Role Description** The Regulatory Change Management Officer works with the Regulatory Change Management Team as a Subject Matter ... timely implementation for SMBC. **Role Objectives** The Regulatory Change Management Officer role works with departments across SMBC Americas Division to coordinate… more
- Principal Financial Group (Des Moines, IA)
- …to the President of Principal Securities. In partnership with the firm's Chief Compliance Officer , you will define, implement, and lead a best-in-class ... supervisory framework that ensures full compliance with FINRA , SEC, RIA, and state regulatory requirements, while also driving innovation and enhancing the… more