Operational Systems Compliance - Monitoring operational functioning and the portfolio process for compliance, including positions, order activity and other systematic parts of the process in keeping with procedural requirements, for potential errors as well as monitoring conduct. Product and Financi...
Interactive Brokers | Compliance Officer – Electronic Trading. ...
Seeking an experienced compliance officer to join our team as the new Director, Electronic Trading Compliance Officer. In this role, the compliance officer will be responsible for ensuring compliance with all relevant U. Director, Electronic Trading Compliance Officer, U. Ensure compliance with rele...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. VP, Compliance Testing Officer - Hybrid. Internal Job Title: Compliance Testing Officer- C...
Seeking an experienced compliance officer to join our team as the new Director, Electronic Trading Compliance Officer. In this role, the compliance officer will be responsible for ensuring compliance with all relevant U. Director, Electronic Trading Compliance Officer, U. Ensure compliance with rele...
Operational Systems Compliance - Monitoring operational functioning and the portfolio process for compliance, including positions, order activity, and other systematic parts of the process in keeping with procedural requirements, for potential errors as well as monitoring conduct. Product and Financ...
Operational Systems Compliance - Monitoring operational functioning and the portfolio process for compliance, including positions, order activity and other systematic parts of the process in keeping with procedural requirements, for potential errors as well as monitoring conduct. Product and Financi...
Senior Compliance Officer - Quantitative Trading. Provide ongoing compliance support to WorldQuant Millennium Advisors (". Conduct ongoing WMA compliance reviews. Monitor regulatory changes, updates and industry-wide compliance initiatives. ...
Seeking an experienced compliance officer to join our team as the new Director, Electronic Trading Compliance Officer. In this role, the compliance officer will be responsible for ensuring compliance with all relevant U. Director, Electronic Trading Compliance Officer, U. Ensure compliance with rele...
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...
Operational Systems Compliance - Monitoring operational functioning and the portfolio process for compliance, including positions, order activity and other systematic parts of the process in keeping with procedural requirements, for potential errors as well as monitoring conduct. Product and Financi...
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...
Global Regulatory Compliance, Mutual Funds is a five-person team responsible for overseeing the compliance programs of the US domiciled registered investment companies for the Chief Compliance Officers. Support the Chief Compliance Officers (CCOs) in the preparation, assembly, and dissemination of t...
The primary responsibilities of the Compliance Testing Officer include:. Managing the firm’s annual compliance testing program. Assist in the development of the firm’s compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with rel...
Support the Code of Ethics Program, including oversight of all personal securities trading, periodic attestations and certifications and related staff regulatory reporting obligations.Administer and manage a regional Code of Ethics programs, across multiple branch offices and investment platforms.In...
Security Officer Premier High Rise. As a Security Officer, you will serve and safeguard clients in a range of industries such as Commercial Real Estate, Healthcare, Education, Government and more. Allied Universal, North America's leading security and facility services company, provides rewarding ca...
Security Officer Community Center. As a Security Officer, you will serve and safeguard clients in a range of industries such as Commercial Real Estate, Healthcare, Education, Government and more. Allied Universal, North America's leading security and facility services company, provides rewarding car...
Capital is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This position will work closely with the Assistant Vice President of Regulatory Reporting and the Chief Compliance Officer Advisers on a variety of compliance matters, most specifically those pertaini...
The Senior Compliance Analyst's primary focus will be to:. Interactive Brokers is looking for a motivated, IT audit, risk or compliance professional with experience working in financial services, or similar regulated environment. Support compliance coverage of the firm's technology and data ...
Interactive Brokers seeks a motivated and talented individual to join its Compliance group. The candidate will report to the Communications Compliance Officer and focus on helping the Firm stay up to date necessary in its communications database. Develop and distribute periodic reports to management...
Lumen is seeking an Associate General Counsel to join the legal team with the Labor and Employment team, This role calls for a seasoned legal professional who embodies clarity and courage, with a growth mindset to support enterprise-wide labor matters in North America and provide advice on employmen...
Our team members are highly knowledgeable and have diverse backgrounds in tax compliance, including tax technical compliance and reporting requirements, Pillar II compliance, process and technology enhancement, advanced calculations, and compliance and reporting for inbound and outbound businesses. ...
Azelis Americas is seeking a General Counsel to lead the Legal team for our region. Lead and develop a team of legal counsels and paralegals across the Americas region in line with Azelis’ business and legal strategy. Manage outside counsel and oversee legal costs within the constraints of the appro...
Audit Manager, Consumer Compliance. Certified Anti-Money Laundering Specialist (CAMS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), Certified Regulatory Compliance Manager (CRCM), or Certified Fraud Examiner (CFE). ...
In addition to investment-related responsibilities, the Counsel will oversee all general corporate, employment, IP, and governance matters for Palm, and play a similar role supporting portfolio companies with general legal matters including employment, leasing, partnership agreements, contracts, wit...