The Senior Compliance Officer will support our culture of compliance while supporting our mission of helping DWS grow and service our clients. Senior AFC & Compliance Officer - Alternatives. The Senior Compliance Officer will support the Illiquids Alternative business lines in the Americas and p...
Analyzes and reports compliance information to Compliance and business/group management. Analyzes and reports compliance information to Compliance and business/group management. Assists in the implementation, maintenance and administration of a specific compliance program. Coordinates and performs r...
The Compliance Officer - FCM Advisor provides compliance advisory services for the FCM (futures commission merchant) entity as well as related IBs (introducing brokers), GIBs (guaranteed income bonds), and swap dealers. Compliance and Compliance Officers play a crucial role in ensuring that all acti...
Director will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker-dealers and provide compliance support to the Capital Markets line of business, a division within the Commercial Bank of Capital One. Commercial Broker Dealer C...
The Chief Compliance Officer ("CCO") is ultimately responsible for the compliance functions of the RIA, Oxford Financial Group, LLC ("Oxford") and the commodity pool operator. The person who is in this role may also serve as a BSA Officer of the Trust Company of Oxford ("TCO...
Work with the Senior US Compliance Officer to develop and maintain the Compliance framework for the US Broker Dealer entity as part of the global Compliance framework. They are seeking a Compliance Officer to join their Chicago offices. Review the Compliance Monitoring Plan and the controls in place...
The General Counsel and Chief Compliance Officer (GC/CCO) will guide the legal and compliance strategy for the firm and lead a team that will execute those initiatives daily. Within the Business Department, the Compliance and Legal team serves in an advisory capacity to Belvedere's trading, operatio...
Manage and review quarterly compliance reporting and findings to the Chief Compliance Officer and Board of Trustees. At the direction of the Chief Compliance Officer, assist in various compliance related matters. We are a trusted Financial Services company that needs an experienced Senior Compliance...
Compliance Officer – FCM Advisor. Hamlyn Williams have partnered with a global financial services platform, based in Chicago, IL that are looking to hire a Compliance Officer – FCM Advisor. As a Compliance Officer – FCM Advisor, you will:. As a Compliance Officer – FCM Advisor, you will need:. ...
What's It Like to be a Chief Compliance Officer? Our innovative and growing company is looking to fill the role of Chief Compliance Officer. Job Description: Chief Compliance Officer. We are a Dental Provider looking for a Chief Compliance Officer in Chicago. What's It Like to be a Chief Compliance ...
The role of the Compliance Officer is to develop, administer and monitor the Bank’s programs for compliance with laws, regulations and rules governing operations and product offerings. The Compliance Officer will inform and educate appropriate personnel, senior management and the Board of Directors ...
The position will be posted through 7/31#LI-GM1Compliance Officer II- NewlineLOCATION -- Cincinnati, Ohio 45227Fifth Third Bank, National Association is proud to have an engaged and inclusive culture and to promote and ensure equal employment opportunity in all employment decisions regardless of rac...
Under the general direction of the Contract Compliance Director and/or Deputy Director, monitors and assesses small business owner vendor applications requesting eligibility in the Minority-owned Business Enterprises, Women-owned Business Enterprises and Veteran-owned Business Enterprises (MBE/WBE/V...
Analyzes and reports compliance information to Compliance and business/group management. Analyzes and reports compliance information to Compliance and business/group management. BMOLRCAssists in the implementation, maintenance and administration of a specific compliance program. Coordinates and perf...
BRJob Title:AFS Compliance Officer - Chicago, ILDepartment/Function:Legal, Compliance, Regulatory Affairs, Corporate SecurityJob Description:AFS Compliance Officer - Chicago, ILThis is an exempt level position. Position Summary:We are looking for a compliance officer that will support our wholly own...
Prefers at least two (2) years’ experience of compliance reporting in recruiting, outreach, or workforce diversity. Prefers at least one (1) year experience representing an organization or unit in an inter-departmental setting concerning statistical data collection and compliance reporting. ...
Broker dealer located in Chicago looking to bring on board a “Commercial Broker Dealer Chief Compliance Officer – Sr. Promoting a culture of compliance and managed risk taking. Providing subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, incl...
The successful candidate will report to the Chief Compliance Officer of 50 South and also the Alpha Strategies Fund, a registered closed-end fund managed by 50 South. This position is part of Northern Trust’s Asset Management (“NTAM”) Compliance team, led by the Head of Compliance for Asset Manageme...
Our bank client is seeking to fill a Hybrid Remote BSA Compliance Officer role in the Minneapolis, MN market. BSA Compliance Officer responsibilities include:. The successful candidate will be responsible for coordinating the development, implementation, and administration of all aspects of the BSA/...
Assure that Compliance Program reports are produced for the Chief Executive Officer, Board of Directors, and/ or the Audit and Compliance Committee of the Board of Directors, as directed by the Chief Corporate Compliance Officer. The Compliance Officer is responsible for the ongoing development, imp...
The Compliance Officer – FCM Advisor provides compliance advisory services for the FCM (futures commission merchant) entity as well as related IBs (introducing brokers), GIBs (guaranteed income bonds), and swap dealers. Compliance and Compliance Officers play a crucial role in ensuring that all acti...
This position is part of the Compliance Program Management team providing direct consumer compliance oversight and support of all marketing and advertising, including marketing efforts of the mortgage lending team. Assist the AVP Regulatory Change Management with oversight of the compliance change c...
The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance functions. The President and Chief Compliance Officer will work on building, implementing, and overs...
Job Summary Under the general direction of the Contract Compliance Director and/or Deputy Director, monitors and assesses small business owner vendor applications requesting eligibility in the Minority-owned Business Enterprises, Women-owned Business Enterprises and Veteran-owned Business Enter...
Compliance Officer Responsibilities:. Compliance Officer Requirements:. This role will focus on regulatory compliance, OSHA claims investigations and audits. Develop, implement and oversee company-wide compliance programs to ensure adherence to OSHA regulations and other relevant laws. ...