- Millennium Management LLC (New York, NY)
- Compliance Officer Responsibilities Assist in implementing the Global Compliance Program Drafting compliance policies and procedures Conduct research ... with respect to compliance and regulatory issues; develop new compliance ...of the Investment Advisers Act of 1940 and the Securities Act of 1933 preferred Detail oriented; critical thinker,… more
- Arootah (New York, NY)
- …fund accounting, and administration, managing internal legal and compliance , accounting, performance measurement, and establishing processes and procedures ... accounting function to ensure accurate and timely investment data, compliance with statutory accounting policies, and compliance ...of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and Securities Exchange… more
- Morgan Stanley (New York, NY)
- Americas Corporate Secretarial Chief Operating Officer - Company Law Group Company Profile Morgan Stanley is a leading global financial services firm providing a ... wide range of investment banking, securities , investment management and wealth management services. The Firm's...of our culture. Department Profile Professionals within Legal and Compliance provide a wide range of services to our… more
- Citigroup, Inc. (Plainview, 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
- Citigroup, Inc. (New York, NY)
- SVP Cash Management Sales Officer - Global Solution Sales (Consumer, Healthcare, and Life Sciences) About Citi Citi, the leading global bank, has approximately 200 ... including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Our core activities… more
- Citigroup, Inc. (Paramus, NJ)
- …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
- Citigroup, Inc. (Arlington Heights, IL)
- …offering to clients based on client profiling and suitability assessments Make securities recommendations and provide investment advice to clients through a select ... not limited to Senior Wealth Advisor, Small Business Partners, Home Lending Officer , etc.) Acquire new clients through converting referral leads. Manage client… more
- DTCC (Jersey City, NJ)
- …is running effectively and meeting all objectives. Reporting to the Chief Marketing Officer , this individual will act as Chief of Staff to the M&C Leadership ... Communications main point of contact for internal audits, regulatory projects and internal compliance initiatives Serves as the Chief of Staff for the Marketing &… more
- Goldman Sachs, Inc. (Dallas, TX)
- …quality and completeness controls Governance & Reviews: Ongoing evaluation of compliance with key regulatory regimes, new activity impact assessments and approvals, ... monitor, and govern liquidity risk Direct engagement with the Chief Risk Officer and global regulators regarding material risks, current risk exposures, and limits… more
- NextEra Energy (North Palm Beach, FL)
- …corporate governance and securities law. This role will also support our Compliance & Responsibility Organization and, as needed, provide back up support to the ... office of the Executive Vice President and Chief Legal Officer . The Executive Assistant will be responsible for planning, executing and active support of the board… 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 ... range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate… 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 ... range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate… 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
