- Novo Nordisk Inc. (Boulder, CO)
- …new medicines for patients. The Position The Specialist, Logistics & Global Trade Compliance is responsible for enforcing company-wide compliance with US Customs ... point of contact for all activities regarding Logistics and Global Trade Compliance Ensure prompt shipment related communication to key internal and external… more
- Axis (Kansas City, MO)
- …request for candidates taking part in the selection process. Head of US Broker Compliance Job Family Grouping: Operations Group Job Family: Operations-Producer ... How does this role contribute to our collective success? As the Head of Broker Compliance at AXIS, you will play a pivotal role in ensuring our operations adhere… 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 ... Annual Compliance Plan in line with below responsibilities: + Provide Compliance Advisory services to broker -dealer business lines. + Complete or assist… more
- SMBC (New York, NY)
- …**Qualifications and Skills** + Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap ... Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. Series… more
- Manulife (Boston, MA)
- …US broker -dealer training and education program, including the Annual Compliance Certification, Annual Compliance Meeting, and Firm Element Continuing ... and Global Compliance Office. + Coordinate regulatory examinations of the Broker -Dealers and assist, as needed, with responses to regulatory inquiries. + In… more
- NatWest Markets (Stamford, CT)
- …including knowledge of FINRA, SEC, CFTC, DTCC and NFA regulation. + Knowledge of broker -dealer and swap dealer compliance laws, rules and regulations. + Strong ... Broker Dealer Advisory - VP Stamford,United States Permanent...of the department and the business._ **Job Description** The Compliance Advisory Officer reporting to the Compliance … more
- SMBC (New York, NY)
- …a regulatory advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief ... risk assessment exercise. **Qualifications and Skills** + Extensive Compliance Advisory experience at a broker dealer...+ Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures… more
- Arena Investors LP (Jacksonville, FL)
- … policies and procedures; . Administration of firm (Investment Adviser and Broker -Dealer) annual compliance review (testing and monitoring); . Conflicts of ... a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker -dealer compliance (ideally Series 7 or Series 14 licensed); .… more
- TIAA (Frisco, TX)
- …the firm. MCC works closely with other departments, including but not limited to broker -dealer compliance , RIA compliance , product compliance , and legal. ... Enterprise Compliance Sr Associate Serve as a member of...obtained within 6 months of hire. + Wealth management, broker -dealer, or registered investment adviser experience. + Life insurance… more
- Teva Pharmaceuticals (North Wales, PA)
- …improvements and conduct training with Teva US (TUSA) CTC team members and Customs broker * Perform Compliance reviews of imported items to ensure full Customs ... Manager, US Customs & Trade Compliance Date: May 12, 2025 Location: North Wales,...compliance ) Experience Required: * Current US Customs Licensed Broker * 5+ years experience working with US Customs… more
- First Horizon Bank (Memphis, TN)
- …+ Bachelors Degree in Accounting, Finance or Business + Minimum 5 yrs. experience in broker -dealer Compliance or equivalent in legal, compliance or audit + ... **Description** FHN Financial is seeking an experienced, licensed Compliance Officer to provide primary compliance ...surveillance, reporting, and guidance for all aspects of a broker -dealer and a bank dealer and offer general support… more
- CVS Health (Springfield, IL)
- …of market strategy impacting the recruitment, onboarding, engagement, production, and compliance adherence of assigned independent broker base located in ... methods, and information management. * Responsible for ongoing individual broker management and Local Agency Development. Compliance Responsibilities:… more
- Winland Foods (Annapolis, MD)
- …trade spend strategy with the support of the Director, Trade Strategy, ensures broker compliance to Trade requirements + Understands and works effectively in ... contact for customer buyer. + Provides management and oversight to the Winland broker network. + Sells the Winland value proposition proactively and customizes the… more
- Academy Sports + Outdoors (Katy, TX)
- …+ Possess and maintains functional expertise in customs regulations and customs broker practices. Ensures compliance with US import regulations and proper ... of study required Work Experiences: + At least five years related customs compliance , audit, logistics or other relevant work experience required Skills: + Strong… more
- Citizens (Charlotte, NC)
- …Excel and SharePoint Qualifications + Minimum 7 years of institutional broker -dealer compliance experience, with significant licensing and registration ... subsidiary of Citizens Financial Group, is a FINRA-registered institutional broker -dealer with approximately 650 associated professionals. We deliver strategic… more
- Robert Half Finance & Accounting (Clemmons, NC)
- …agencies for import and export control matters. * Monitor and evaluate customs broker activities to ensure compliance with import and export requirements. * ... We are looking for a dedicated and experienced Trade Compliance Manager to lead domestic and international trade ...Business, Supply Chain or a related field. * Customs Broker license is preferred. * At least 7 years… more
- General Atomics (Poway, CA)
- …Coordinate and process import and export shipments, including AES filing and customs broker interaction. + Provide trade compliance support for customs and ... Atomics Aeronautical Systems (GA-ASI) has an exciting opportunity for a Trade Compliance Operations Specialist to join our International Trade Compliance (ITC)… more
- Cleveland Research Company (Cleveland, OH)
- …Officer in identifying and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops and maintains strong ... Compliance Associate Cleveland Research Company is an independent...Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is seeking a… more
- Marex (New York, NY)
- …Annual Compliance Plan in line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete ... Policies and Procedures and Written Supervisory Procedures. + Provide Compliance Advisory services for US Broker Trade...+ Provide Compliance Advisory services for US Broker Trade Surveillance process. + Provide Compliance … more
- Whirlpool Corporation (Benton Harbor, MI)
- …Management Experience + Bachelors degree **Preferred skills and experiences** + Licensed Customs Broker + Proficiency in Trade Compliance Software & Tools + ... will be a part of** The Manager of Trade Compliance will work as part of the Transportation and...will work as part of the Transportation and Trade Compliance team, collaborating with a wide range of internal… more
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