- 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
- 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 (Harrisburg, PA)
- AVP Underwriting Officer OR VP, Senior Underwriting Officer 120961 What can go right when you can grow your career? Now is the time to move forward and make ... to submit your talent referral.** Zurich is currently looking for a Surety AVP Underwriting Officer OR VP, Senior Underwriting Officer to work out of… more
- Gulfstream (Savannah, GA)
- …[[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
- BMO Financial Group (New York, NY)
- …in the office each week is the expectation Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker -dealer ... and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of… 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
- 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
- First Horizon Bank (Memphis, TN)
- **Description** FHN Financial is seeking an experienced, licensed Compliance Officer to provide primary compliance surveillance, reporting, and guidance for ... + Bachelors Degree in Accounting, Finance or Business + Minimum 5 yrs. experience in broker -dealer Compliance or equivalent in legal, compliance or audit +… more
- Santander US (New York, NY)
- Advisory Compliance Officer - Fixed Income Business Line Compliance Country: United States of America **Your Journey Starts Here:** Santander is a global ... communication skills, with the ability to effectively influence others and engage senior stakeholders and foster collaboration amongst Compliance , the business… more
- Financial Partners Credit Union (Costa Mesa, CA)
- …Position Type Full Time Job Description This position reports directly to the EVP/Chief Revenue Officer and serves as both the senior lending officer and the ... planning and execution of digital lending initiatives. + Ensure compliance with all applicable regulations, including but not limited...lending operations. + Minimum of 5 years in a senior or executive leadership role. + Minimum of 5… more
- Wells Fargo (New York, NY)
- …Join us! **About this role:** Wells Fargo is seeking a Lead Control Management Officer within FICC Trade Surveillance. Learn more about our career areas and lines of ... Securities Operations that support Wells Fargo Securities (WFS LLC) and regional broker dealers, derivative operations that support its Swap Dealer (WFBNA) including… more
- Citigroup (New York, NY)
- Citibank, NA seeks a Treasury Risk Officer for its New York, New York location. Duties: Design and conduct independent assessment of liquidity risks metrics inflows ... responsiveness to changes in the regulatory environment and ensure regulatory compliance . Produce presentation materials and present analysis to management and… more
- CenterWell (Dallas, TX)
- …other providers to form a narrow network of quality service focused on senior population health + Responsible for medical interpretation, reviews, and decisions as ... in community and marketing events. + Develop and maintain compliance with the departmental and physician budgets. + Assess,...others in collaborative problem solving. Acting as both a broker and consultant regarding resources, you engage others in… more
- Manulife (Boston, MA)
- …investors in managing their investments and personal financial goals. Reporting to the Compliance Director, the Senior Compliance Consultant is a dynamic ... the impact to policies and procedures. + Provide compliance reporting to the Compliance Director, Chief Compliance Officer (s) and Global Compliance … more
- CalSTRS (Sacramento, CA)
- …overStrategic Management & Operations. Under the direction of the Chief Investment Officer (CIO), the Senior Investment Director (SID), Strategic Management & ... Job Posting: Senior Investment Director, Strategic Management & Operations State Teachers' Retirement System JC-478284 - Senior Investment Director, Strategic… more
- CoStar Realty Information, Inc. (Chicago, IL)
- Senior Business Development Executive - Large Brokerage Accounts Job Description **Company Overview** CoStar Group (NASDAQ: CSGP) is a leading global provider of ... search and marketing experiences. Just ask Brad Bellflower, Chief Change Officer at Apartments.com. After its acquisition in 2014, Apartments.com quickly turned… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- Deloitte (Pittsburgh, PA)
- …+ Foreign equivalent of the above certifications + CUSICO (Certified US Import Compliance Officer + Professional Accreditation in EU Customs Law (post masters) ... world in our world! What you'll do As a Senior Manager on our Global Trade Advisory team, you...technologies. Responsibilities will include: + Helping companies manage global compliance requirements and realize efficiencies in their global supply… more