- Creative Financial Staffing (Columbus, OH)
- …Ensure accurate and timely reporting in compliance with regulatory requirements. Banking and Investment Management - Oversee bank relationship and treasury ... through effective financial management. Responsibilities of the Chief Financial Officer Include: Financial Strategy and Planning - Develop and...management activities Tax Compliance - Oversee tax planning and compliance ,… more
- Creative Financial Staffing (PR)
- …in all aspects of financial management ranging from simple accounting to broad investment and banking operations. The ideal candidate will be an excellent ... management by analyzing the organization's liabilities and investments Decide on investment strategies by considering cash and liquidity risks Control and evaluate… more
- Creative Financial Staffing (Des Plaines, IL)
- …of investment earnings/losses and fees. Leads process for selection of investment and banking custodians. Conducts annual spend analysis in accordance with ... functions of the Foundation. Performs all accounting functions, management of investment services and annual audit activities, and provides financial advice and… more
- WSFS Bank (Wilmington, DE)
- …Administration in performing all tasks necessary for proper administration of trust, investment management, custody of IRA accounts as well as account and file ... and transaction input, cash and securities processing, account reviews, and complete compliance and legal projects as requiredThe incumbent will maintain trust files… more
- MUFG (Irving, TX)
- …The Compliance Officer will be a member of the Global Corporate & Investment Banking Compliance team with the objective of providing compliance ... guidance, and oversight to MUFG Bank's Global Corporate & Investment Banking ("GCIB") business unit. Roles and...Banking ("GCIB") business unit. Roles and Responsibilities: The Compliance Officer will assist in the management… more
- Bank of America (Chicago, IL)
- Senior Credit Officer -Global Corporate and Investment Banking Chicago, Illinois **Job Description:** At Bank of America, we are guided by a common purpose to ... conditions, and relationship profitability to provide high quality credit approval to Corporate Banking , Investment Banking , Global Markets, and Treasury +… more
- CIBC (Sumter, SC)
- …You'll Be Doing** Reporting to the head of CIBC US Middle Market Investment Banking , this position is responsible for providing dedicated proactive coverage ... private equity firms. While focused on US Middle Market Investment Banking , the role requires partnering with...that recommendations and opinions offered to client are in compliance with CIBC policies and procedures + Demonstrate CIBC's… more
- Wells Fargo (New York, NY)
- **About this role:** The Corporate & Investment Banking Control organization serves as the front line of risk management and is accountable for assessing and ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- Liberty Bank (Middletown, CT)
- …future through initiatives and investment . SUMMARY OF THE JOB: The Fair Banking Officer is expected to provide subject matter expertise and interpretation of ... Fair Banking Officer Middletown, CT 06457, USA...relationships with all respective stakeholders (eg, Lending Officers, CRA Officer , Compliance Officer , industry, and… more
- JPMorgan Chase (New York, NY)
- …Chase brands. Our history spans over 200 years and today we are a leader in investment banking , consumer and small business banking , commercial banking , ... Product and Coverage teams to support the execution of Investment and Corporate Banking transactions across Equity...product bankers, Wholesale KYC Operations (WKO) Client Office and Compliance teams in region to meet local or product… more
- Scotiabank (New York, NY)
- …the overall success of the advisory compliance coverage of the Corporate & Investment Banking and Research businesses in the US Specific business lines under ... Manager, CIB & Research Compliance Officer **Requisition ID:** 193847 **Salary...Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 193881 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform...the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and… more
- Scotiabank (New York, NY)
- Manager, Markets Compliance Officer **Requisition ID:** 198261 **Salary Range:** 85,700.00 - 159,100.00 _Please note that the Salary Range shown is a guideline ... Global Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America,… more
- Raymond James Financial, Inc. (Pittsburgh, PA)
- …, Director of Business Development, Chief Counsel, Chief Information Security and Privacy Officer , Chief Compliance Officer , Associate Compliance ... **Knowledge of** * Concepts, practices and procedures of securities industry and/or banking compliance reviews. * Rules and regulations of the Securities… more
- Citigroup (Jersey City, NJ)
- …may impact the supported businesses + Supporting the Research and Investment Banking businesses in performing timely compliance reviews of new products. + ... Serves as a Control Group compliance officer , specifically relating to research...(EGCs) preferred + Exposure to Control Group, or Product Compliance roles ( Banking or Research) within a… more
- Capital One (New York, NY)
- …(22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director will be the Commercial ... Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional...electronic communications surveillance, information barriers, restricted/watch lists, institutional research, investment banking , and institutional sales + Acting… more
- SMBC (New York, NY)
- …of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It ... Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- Wells Fargo (Tempe, AZ)
- …in Commercial Banking + Liaise with Corporate and Investment Banking partners to ensure a consistent securities Compliance program across coverage areas ... this role:** Wells Fargo is seeking a **Senior** **Lead Compliance Officer ** in Corporate Risk as part...Officer ** in Corporate Risk as part of **Commercial Banking - Market Coverage and Specialized Industries Compliance… more
- Morgan Stanley (Baltimore, MD)
- …is a leading global financial services firm providing a wide range of investment banking , securities, investment management and wealth management services. ... Legal and Compliance Division (LCD) is seeking a senior Compliance Officer responsible for providing advice and guidance to business segments within Wealth… more
- Banco Popular Puerto Rico (San Juan, PR)
- …Come and join our community! General Description Popular Inc is seeking a Senior Compliance Officer to join the Regulatory Risk Testing Unit of the Regulatory ... & Financial Compliance Division. The Senior Compliance ...JD preferred. Experience * Five years of experience conducting compliance testing or audits within banking , financial… more
