- Wintrust (Chicago, IL)
- …preferred, such as Certified Fiduciary Investment Risk Specialist (CFIRS), Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager ... trust administration, fiduciary duties, and investment management. Monitor to ensure compliance with applicable federal and state fiduciary, securities ,… more
- Citigroup, Inc. (New York, NY)
- The Mortgage Lending Officer role is a developing professional role. This role identifies policy and applies specialty knowledge in monitoring and assessing ... services, including consumer banking and credit, corporate and investment banking, securities brokerage, and wealth management. Citi Bank Retail Mortgage provides… more
- EVgo (Los Angeles, CA)
- …EVgo is seeking a Vice President, Legal (Public Company, Litigation & Compliance ) who is responsible for supporting leading public company reporting/SEC ... compliance , corporate governance, establishing and managing a broad based compliance program and managing litigation across the company. Reporting to the Chief… more
- Interactive Brokers (Greenwich, CT)
- …Interactive Brokers LLC is looking for a motivated and talented Head of Compliance Testing who is knowledgeable of US securities and/or commodities regulations, ... compliance testing program. Responsibilities The primary responsibilities of the Compliance Testing Officer include: Managing the firm's annual compliance… more
- Citigroup, Inc. (Hewlett, NY)
- …offering to clients based on client profiling and suitability assessments Make securities recommendations and provide investment advice to clients through a select ... appropriate (including, but not limited to Small Business Partners, Home Lending Officer , etc.) Acquire new clients through converting referral leads Manage client… more
- Stafford County, VA (Stafford, VA)
- …regulations, concerns and questions; Prepares detailed review of as-built compliance , infrastructure securities , and proffer requirements; Enforces the ... evidence through written, photographic and electronic records; and monitoring progress of compliance . Does related work as required. May serve as lead to other… more
- Webster Bank (Hamilton, NY)
- …, Series 24 General Securities Principal, or Series 14 Compliance Officer licenses Strong written, verbal, and communication skills, particularly ... and enjoy meaningful work! Position Summary The Director, Investment Services Compliance is responsible for assisting the Managing Director, Privacy Compliance… more
- Citigroup, Inc. (Jacksonville, FL)
- …expand customer relationships by maximizing sales and service opportunities. Make securities recommendations and provide investment advice to clients through a ... but not limited to Senior Wealth Advisor, Small Business Partners, Home Lending Officer , Digital Wealth Solutions, etc.) Manage client follow-up and adhere to all… more
- NYL - Matthews (Charlotte, NC)
- …requirements include, but are not limited to, applicable FINRA general securities , agent state law, investment advisory licenses, compliance history, ... such as mutual funds1 through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed...We're proud of the training we offer. Chief Learning Officer : 2023 CLO Learning Elite Gold award We're proud… more
- Goldman Sachs, Inc. (Dallas, TX)
- Job Description WHO WE ARE Led by the Chief Information Security Officer (CISO), Technology Risk secures Goldman Sachs against hackers and other cyber threats. We ... coordination and escalation of newly discovered and existing issues Evaluate compliance and alignment with firmwide policies, standards, and procedures Report… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS US ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...in Word, Excel and PowerPoint **Who We Are** TD Securities offers a wide range of capital markets products… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… 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
- City National Bank (Los Angeles, CA)
- *INVESTMENT RELATIONSHIP OFFICER * WHAT IS THE OPPORTUNITY? Assist Financial Advisors by providing day to day client support and operational service on all CNS ... all new account documents, account transfers (acats), DTC delivery of securities , money movements including cash disbursements and deposits, wires, IRA… more
- TD Bank (New York, NY)
- …your recruiter who can provide you more specific details for this role. **Job Description:** This Compliance Officer is a key member of the TDS US Compliance ... working with regional testing teams across the globe. This Compliance Officer will also support other aspects...at a global financial institution. + Firm understanding of securities and derivatives rules and regulations, and the ability… more
- Sysco (Houston, TX)
- …Work from home on Thursday and Friday.** The **Associate General Counsel, Securities and Corporate Governance** will report to the Executive Vice President, Chief ... Legal Officer , serving as a key legal advisor to the...business stakeholders at all levels across the enterprise on securities , corporate governance, compensation and benefits, [entity management] and… 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
- 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...Internal Controls experience. + Strong understanding of applicable US securities regulations eg SEC 10b-5, securities offering… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer ... 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)
- … Compliance Officer - Fixed Income Advisory will provide compliance advisory services primarily for Fixed Income securities , including corporate bonds, ... bonds, municipal bonds, and US Treasuries as well as providing compliance advisory services regarding various other regulatory reporting requirements, including… more
