- National Life Group (Montpelier, VT)
- Life & Annuity Deputy Chief Compliance Officer /Sr. Compliance Director Company Summary Come join one of America's fastest growing insurance companies with a ... to lead people and directly partner with the Chief Compliance Officer for Life & Annuity in...Preferred Qualifications LOMA certifications, including the Associate, Insurance Regulatory Compliance ("AIRC") designation FINRA Series 7 and… more
- Careers at KKR (Boston, MA)
- …activities of its sponsored funds and insurance subsidiaries. POSITION SUMMARY The Senior Compliance Officer - Marketing Review will support the Company's ... of our insurance and asset management businesses. The Senior Compliance Officer - Marketing Review will join...inquiries. QUALIFICATIONS *Required: Have or obtain shortly after start FINRA Series 7 & 24 licenses. *Bachelor's Degree (or… more
- PNC Financial Services Group, Inc. (Pittsburgh, PA)
- …an opportunity to contribute to the company's success. As a(n) Supervising Loan Officer within PNC's Mortgage organization, you will be based in Pittsburgh, PA. Job ... Manages daily loan activities of a small, high performing Mortgage Loan Officer team. Manages a portfolio of customer relationships. Seeks prospective opportunities… more
- US Bank (St. Louis, MO)
- …and retention of existing accounts. Administers accounts in a manner which ensures compliance with the governing documents, state statutes and US Bank policies and ... procedures. Responsible for meeting all corporate and regulatory compliance standards. Basic Qualifications: Bachelor's degree, or equivalent work experience 5 or… more
- Oppenheimer & Co. Inc. (Scottsdale, AZ)
- …delivery Process cancellations and corrections of orders Works with the Branch Control Officer to ensure compliance with the Firm's policies and procedures ... 5+ years of brokerage/financial services experience along with some management experience FINRA Registrations: Series 7 and 63 required Strong attention to detail… more
- Oppenheimer & Co. Inc. (Jericho, NY)
- …delivery Process cancellations and corrections of orders Works with the Branch Control Officer to ensure compliance with the Firm's policies and procedures ... of brokerage/financial services or relevant experience Must have or is willing to obtain FINRA Registrations: SIE and Series 99 or Series 7 and 63 (Within 6 months… more
- 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 (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
- Santander US (Quincy, MA)
- Sr. FLoD Technology/Privacy Compliance Risk Officer Country: United States of America **Your Journey Starts Here:** Santander is a global leader and innovator in ... You!** The Difference You Make: The **Sr. FLoD Technology/Privacy Compliance Risk Officer ** represents the First Line...Strong knowledge of regulatory frameworks (eg, SOX, GDPR, FFIEC, FINRA , OCC) and industry standards for data security 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
- 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
