- T. Rowe Price (Baltimore, MD)
- …business objectives. + Strategic vision and demonstrated success in transforming an investment compliance function and building a framework for consistency ... for setting compliance standards and enhancing the compliance framework for T. Rowe Price's investment ...Mutual Funds and for the main US advisors. The Head of Compliance , North America will provide… more
- Neuberger Berman (New York, NY)
- …and team members as it relates to determining whether investments are permissible in investment portfolios. The Head of AMGO will provide oversight across all ... Aladdin, Charles River, Investor Tools, and Eze Castle). The Head of AMGO will utilize their experience and expertise...Operational Risk and Client Service as it relates to investment guideline compliance issues + Oversee all… more
- Wellington (Chicago, IL)
- …that aligns our perspectives with those of our clients. **About the Role** The Head of Private Credit Compliance will support and provide leadership to ... Private Investments Chief Compliance Officer, working closely with other compliance professionals and attorneys. **Responsibilities** The Head of Private… more
- Scotiabank (New York, NY)
- …SCUSA CCO, Head of Broker Dealer & Corporate Functions Compliance **Requisition ID:** 199204 **Salary Range:** 174,700.00 - 286,000.00 _Please note that ... Compliance Officer for the US broker dealer and Head of Corporate Functions Compliance , The role...at least 5 years of experience managing an advisory compliance team supporting trading and/or investment banking… more
- Charles Schwab (Westlake, TX)
- …believe they can help themselves, and our clients, create a better future. Director, Head of Compliance Reporting is an important leadership role within Schwab ... through multiple regulated entities, and require facility with multiple compliance subject matter disciplines, including broker/dealer, investment adviser,… more
- Takeda Pharmaceuticals (Boston, MA)
- …compliance in the design on the products and platforms. **ROLE SUMMARY** This role, ** Head of Digital Ethics & Compliance - Global Portfolio Division** , is ... embrace the digital future, the integration of ethics and compliance within our technological advancements is paramount. To realize...as a plus. **WHAT TAKEDA CAN OFFER YOU:** No investment we make pays greater dividends thank taking good… more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Head of Financial Crime Compliance , Americas is ... and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many… more
- SMBC (New York, NY)
- …procedures for optimized efficiency and productivity + Set strategic priorities with the Head of Compliance Surveillance to identify areas of focus and identify ... its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It connects… more
- TD Bank (Chicago, IL)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** 190,000 - 250,000 USD TD is committed to providing fair ... for this role **Job Description:** **Position Summary** Candidate must have compliance advisory experience with background in electronic trading, some Municipality… more
- CIBC (Boston, MA)
- …Regulation 9 investment review process and the administration of the investment compliance restrictions and rules for client portfolio management. This role ... institution based in Toronto, Ontario, Canada. JOB PURPOSE The Head of Portfolio Oversight is a senior role on...managed accounts across the firm + Develop and implement investment oversight and monitoring processes to ensure compliance… more
- Vanguard (Malvern, PA)
- …Ensures all steps are taken to mitigate risk and maintains control, compliance , audit, and legal requirements. + Builds and maintains strategic relationships across ... all investors, to treat them fairly, and to give them the best chance for investment success. How We Work Vanguard has implemented a hybrid working model for the… more
- Citigroup (New York, NY)
- **Wealth Client Segments Control Testing Head Director** The Wealth Products and Operations Control Testing Utility is responsible for the testing of controls ... and alternative investments, managed account strategies, world-class research and investment guidance. Our Wealth business serves ultra-high-net-worth individuals and… more
- T. Rowe Price (Baltimore, MD)
- …policies, ensuring compliance with data protection regulations . Impact The Head of Data Architecture plays a transformative role across the organization by ... are a premier asset manager focused on delivering global investment management excellence and retirement services that investors can..., consistent, and accurate fit-for-purpose data. The Role The Head of Data Architecture reports to the Head… more
- HSBC (New York, NY)
- …also enable solutions for CMB and WPB clients with our markets and investment banking expertise. We use our intellectual capital, financial strength, and broad ... and West. In the role reporting to the Global Head of Communications for Global Banking and Markets (GBM)...and diverse culture + Strong breadth of knowledge of investment banking and relevant trends + Exceptional writing skills,… more
- Neuberger Berman (New York, NY)
- Neuberger Berman is seeking a Head of Treasury for the NB Alternatives platform. This role represents an opportunity to be an initial member in the build out of the ... centralized treasury team supporting the overall NB Alternatives platform. The Head of Treasury will report into the Chief Financial Officer for NB Alternatives.… more
- Citigroup (Tampa, FL)
- **Enterprise Functions Controls Testing Head - C15** **_Job Profile Title:_** **_Business Risk and Control Sr Group Manager - C15 (_** **_Job Code:_** **_231925)_** ... controls. This position reports to the Global Functions Control Testing Utility Head , within the Citi COO organization's Central Controls Capabilities team; and is… more
- Citigroup (Getzville, NY)
- …Our Operations groups are core to the success of the Markets and Investment Banking businesses and have significant impact across the lifecycle of a trade. ... stakeholders including Front Office Sales and Trading Desks, Banking Deal teams, Compliance , Legal, Finance and HR; alongside having significant interaction with our… more
- Cambridge Savings Bank (Waltham, MA)
- …growth and project initiatives, and ensure department objectives are accomplished and in compliance with regulations. The Head of Loan Servicing will also ... POSITION: Head of Loan Servicing Summary: At Cambridge Savings...a plus. + Basic knowledge of banking regulations and compliance matters impacted by Dodd-Frank, RESPA, Reg B, Reg… more
- Citigroup (Tampa, FL)
- **Finance Controls Testing Head Director** The Global Functions Control Testing Utility is responsible for the testing of controls that are designed and executed by ... controls. This position reports to the Global Functions Control Testing Utility Head , within the Citi COO organization's Central Controls Capabilities team; and is… more
- Wells Fargo (Summit, NJ)
- …the skills potential of our employees. Reporting to the Commercial and Corporate & Investment Banking Technology (CCIBT) Head of Strategy & Planning, the **CCIBT ... Wells Fargo is seeking (Technology Business Services Director) ** Head of Transformation Program Management.** Technology sets IT strategy; enhances the design,… more