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...
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...
Interactive Brokers | Compliance Officer – Electronic Trading. ...
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...
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...
Other duties not listed here may be assigned as necessary to ensure the pr Compliance Officer, Director, Electronic, Officer, Compliance, Business Services, Regulatory. ...
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 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...
To lead and manage the Council’s compliance processes to ensure the control, co-ordination, and verification of compliance certification documentation and procedures relating to Fire Risk, Asbestos, Energy Performance, Gas and Electrical Safety, Legionella and any other Health and Safety considerati...
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...
To lead and manage the Council’s compliance processes to ensure the control, co-ordination, and verification of compliance certification documentation and procedures relating to Fire Risk, Asbestos, Energy Performance, Gas and Electrical Safety, Legionella and any other Health and Safety considerati...
To lead and manage the Council’s compliance processes to ensure the control, co-ordination, and verification of compliance certification documentation and procedures relating to Fire Risk, Asbestos, Energy Performance, Gas and Electrical Safety, Legionella and any other Health and Safety considerati...
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...
This is a contract opportunity.Position: Phlebotomist 8361Location: Issaquah, WASchedule: see belowProjected duration: 3 months + potential for permJob code:CVDJP00028361 benefits are available two positions open , will need one candidate to work 7:30AM to 4:30PM PST and the other worker will need t...
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...
Head of Risk/ERM, Chief Audit Executives, GC, Chief Compliance & Ethics Officer, CEO, and Board of Directors). As part of Gartner's Corporate Assurance Practice, you will join a dynamic team focused on advising Legal, Risk, Compliance and other assurance leaders on emerging technologies, vendors, ma...
Firm is looking to add an Associate to their Compliance team, supporting the Credit business. You’ll work closely with the CCO and assist in quarterly compliance testing, regulatory filings, and AML/KYC screening. This role is ideal for candidates with 2-4 years of compliance experience, particularl...
Our client is seeking a skilled mid-level associate to join their International Trade Compliance (ITC) practice, based in either Washington, DC or New Haven, CT offices. Responsibilities will include investigating and drafting voluntary disclosures, and developing and implementing robust compliance ...
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...
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 ...
We are a passionate team of healthcare professionals, food entrepreneurs, business executives and experienced product management united by our belief that nutritious food and health education are strong determinants of good health and a life well-lived. The Director of Compliance is responsible for ...
Accounts Payable Compliance Analyst. Our client is one of the world's largest manufacturers of data transmission applications, and a proven leader in supporting next generation technology! With consistent year-over-year growth, this talented team is looking for an Accounts Payable Compliance Analyst...
As a Responsible AI Monitoring & Compliance professional, you'll be experienced in ensuring that AI systems are developed, implemented, and maintained in a way that mitigates risks associated with AI. We're looking to grow our Responsible AI team and if you're experienced in Monitoring & Com...