- TowneBank (Charlotte, NC)
- …for the real estate agents (lunch and learns). Works closely with the Broker /Sales Manager Attends Loan Officer Meetings. Represents the bank with active ... This position is primarily responsible for originating Mortgage loans in compliance with company and regulatory policy. Provides service to applicants and… more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide ... Plan in line with below responsibilities: + Provide Compliance Advisory services to broker -dealer business lines....Ability to project confidence and professionalism in dealings with senior business personnel. + Ability to make, support and… more
- Principal Financial Group (Des Moines, IA)
- …financial services industry, with extensive senior -level expertise in broker -dealer and investment advisor compliance , risk management, operations, ... of Principal Securities. In partnership with the firm's Chief Compliance Officer , you will define, implement, and...the firm's registered home office supervision program for both broker -dealer and RIA channels. + **Drive Compliance … more
- SMBC (New York, NY)
- …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 the ... strategic planning within area of coverage. Reports to a senior member of Private Side Compliance Advisory...Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer. +… more
- Marex (New York, NY)
- …services. For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Senior Compliance Officer - Fixed Income Advisory will ... Plan in line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer...Ability to project confidence and professionalism in dealings with senior business personnel. + Ability to make, support and… more
- Zurich NA (Addison, TX)
- AVP, Surety Underwriting Officer or VP, Senior Underwriting Officer 117300 Zurich is currently looking for a AVP, Surety Underwriting Officer or VP, ... new and renewal business. + Experience working in a team environment. OR VP, Senior Underwriting Officer Qualifications: + High School Diploma or Equivalent and… more
- Zurich NA (New York, NY)
- VP, Senior Underwriting Officer 120961 Zurich is currently looking for a Surety AVP Underwriting Officer OR VP, Senior Underwriting Officer to work ... the insurance industry This role will be filled at either the Surety AVP Underwriting Officer OR VP, Senior Underwriting Officer . The hiring manager will… more
- Zurich NA (Houston, TX)
- AVP, Underwriting Officer Or VP Senior Underwriting Officer 124610 Zurich North America is currently looking for a Contract Surety Underwriter **to join our ... role will be filled at either the AVP, Underwriting Officer or VP Senior Underwriting officer...Establish new as well as develop existing agency and broker relationships + Working within limits and authorities on… more
- Gulfstream (Dallas, TX)
- …[[cusuniqSkills]] Education and Experience Requirements Bachelor's Degree in business, compliance , supply chain, engineering or related field required or equivalent ... years global trade experience including customs regulations, import transactions, customs broker management and technical systems, and applicable activities. 3 years… more
- Zurich NA (Owings Mills, MD)
- AVP, Surety Underwriting Officer or VP, Senior Underwriting Officer 123470 Zurich North America is currently looking for a Contract Surety Underwriter to ... role will be filled at either the AVP, Underwriting Officer Or Senior VP Underwriting Officer...Establish new as well as develop existing agency and broker relationships + Working within limits and authorities on… more
- Truist (Charlotte, NC)
- …and interact with all levels of management Preferred Qualifications: 1. Proven Broker /Dealer product knowledge/expertise 2. Eight years of compliance experience, ... regulatory requests for BD / RIA. Leads and executes compliance risk management activities to reasonably ensure compliance...and Analysts. 8. Partner with LOB leaders and other senior Truist teammates to execute on key strategic initiatives… more
- Arena Investors LP (Jacksonville, FL)
- …where 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 ... policies and procedures; . Administration of firm (Investment Adviser and Broker -Dealer) annual compliance review (testing and monitoring); . Conflicts of… more
- AIG (New York, NY)
- About the role The Senior Reinsurance Officer is responsible for managing technical claims and operations for the Ceded Re Team, reporting to the Global Head of ... on allocation of reinsurance treaty spend + Manage select compliance requirements for the Ceded Re Team to ensure...discretion and confidentiality in all matters + Participate in broker and client meetings, presentations and audits + Ability… more
- Equitable (Charlotte, NC)
- …experience, preferably with a wholesale distributing broker dealer and/or in a senior compliance level role. * Demonstrated understanding of SEC, FINRA and ... Chief Compliance Officer ( 250000CZ ) **Primary Location** : UNITED STATES-NC-Charlotte **Organization** : Equitable **Schedule** : Full-time **Description** At… more
- Scotiabank (New York, NY)
- …a team leader for Markets Compliance . **What You'll Do** + Acting as a senior compliance officer and Compliance team leader supporting Scotiabank US ... Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary...every future! **Purpose** In this role, you will provide senior compliance support for the Scotiabank US… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business units ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $125,000 - $140,000 USD TD is...functions **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- Zurich NA (Sacramento, CA)
- …complex assignments with confidence and autonomy + Building and maintaining strategic broker and agency relationships + Ensuring compliance with underwriting ... + Experience working in a team environment OR VP, Senior Underwriting Officer + High School Diploma...Advanced knowledge and practice of Surety Bonds + Established Broker relationships + Ability to interact with the C-Suite… more
- Citizens (Johnston, RI)
- Description The CSI Regional Control Officer (RCO) uses best practices and knowledge of internal or external business issues to improve products or services. The RCO ... guidance when solving complex problems related to business, administrative and compliance based tasks. Primary responsibilities include: + Direct supervision of… more
- Vanguard (Malvern, PA)
- …compliance program for Vanguard's broker -dealer business. Working for the Chief Compliance Officer , this compliance leader, directly and through a ... its growing and evolving service offerings, Vanguard seeks a highly skilled broker -dealer compliance professional to lead strategic compliance activities… more
- Forward Air (Dallas, TX)
- …+ US Licensed Customs Broker (LCB) is strongly preferred + Certified US Export Compliance Officer (CUSECO) or similar certification + A minimum of 8 years of ... Position: Senior Trade Compliance Manager Job Description: The Senior Trade Compliance Manager will be responsible for the development, implementation,… more
