As the Market Conduct Junior Compliance Officer, you will play an important role in supporting the growth and development of the global Market Conduct compliance function at Glencore. Market Conduct - Junior Compliance Officer. Group Compliance / Market Conduct. The role will report to the Market Co...
The compliance officer is responsible for independently monitoring business information barriers and the protection of MNPI across various forms of communication and media. Manage compliance risk management communications, training, documentation, procedures, and processes. Monitor and communicate c...
The Corporate Tax Compliance Officer will be responsible for assisting the Assisting Director of Compliance on: Tax Compliance, Provision, Research and Audit. ...
Provide general compliance advice on daily investing activities, compliance policies and procedures and private fund compliance issues. The role will report to the Chief Compliance Officer for KKR Private Markets. Ongoing maintenance of the compliance program for KKR Private Markets and KKR Real Est...
Serve as lead Compliance Officer responsible for the oversight and monitoring of personal and related trading accounts maintained by SGUS employees. Serve as lead Compliance Officer responsible for reviewing and approving, employee outside business activities and private investments requests. The Co...
Corporate Banking Compliance Officer, AVP page is loaded. Corporate Banking Compliance Officer, AVP. Partner with Relationship Managers/Product Groups to enable more enriched discussions on risk/AML/Sanctions compliance issues, while managing the progress of KYCs from an end to end basis for an assi...
The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities and jurisdictions of operation. Recommending and implementing enhancements to the Volcker compliance program and related policies/procedure...
This is a critical role overseeing compliance for core parts of Forge’s business, reporting directly to the Head of Compliance. Maintain and enhance the company’s BD and RIA compliance program. Develop, implement, and maintain Forge’s broker-dealer and RIA compliance programs. Manage a staff of expe...
Our client is seeking a dynamic and experienced Chief Compliance Officer to join their team. Manage risk identification and compliance testing programs including risk matrixing, identifying opportunities for compliance testing and internal control enhancements. The CCO will be responsible for overse...
The Fractional/Part-Time Chief Compliance Officer (CCO) will be responsible for developing, implementing, and managing all aspects of the compliance program for our telehealth business. Minimum of 10 years of experience in a compliance role within the healthcare industry, with at least 5 years as a ...
Compliance for a NYC based SEC registered investment advisory firm ( Midtown). You will handle investment advisory and fund related compliance work. ...
A prominent Broker-Dealer client of ours is seeking to grow their compliance function by adding an FCM (Futures Commission Merchant) Compliance Officer to their team. Support broader compliance function by providing regulatory compliance guidance from an advisory capacity for the FCM, IBs (introduci...
CIB Americas Compliance seeks a VP-level Compliance Officer to contribute at the CIB Americas Control Room and support a dynamic CIB Americas Compliance Department. The Compliance Officer will have direct coverage responsibility to oversee and review deal-related conflicts issues. The Compliance Off...
Investment Banking and Regulatory Compliance Officer - Director. The focus of the role will be on execution of control room-related tasks, advisory to the various businesses, focusing on the private side, reporting, monitoring Compliance and business controls, and the execution of Compliance control...
Technical knowledge of Compliance Management Software, with capacity to monitor and document compliance activities based on multiple regulations and standards- Current knowledge of laws and regulations that apply to NYC Aging practices- Data analysis and savvy to use applicable data analysis tools a...
Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance Risk Management (ICRM). Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/business/product and guidance on function...
Requesting feedback on regulatory changes from subject matter experts, including Legal and Compliance coverage and other stakeholders; coordinating their input into the Regulatory Tracker module of the Compliance Department’s Governance, Risk and Compliance (GRC) tool. Regulatory Change Compliance O...
Key Responsibilities:Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. Key Internal Contacts:The employee will most likely interact on a regular basis with the Client On Boarding group, Front Office personnel, Head Offi...
The Advisory Compliance team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwriting...
Guggenheim Investments is seeking an exceptional Compliance Officer to join its team. The Compliance Officer is located in our New York office. ...
Collaborate with divisional functions to implement relevantpliance policies and procedures, fostering a culture of adherence to laws and regulations.Provide oversight for the Division's IOSCO assurance program.Offer advisory services onpliance matters and actively participate in relevantmittees.Deve...
Reporting to the Director of Fleet Services, the Fleet Safety and Compliance Officer will lead a small team of analysts responsible for developing and implementing a broad range of fleet and driver safety and compliance programs, including:. DEP is seeking a dynamic, results driven safety or risk ma...
Assist the Chief Compliance Officer in developing and implementing compliance policies and procedures that align with regulatory requirements and the company’s business objectives. Investigate and resolve compliance-related issues, and escalate issues to the Chief Compliance Officer when necessary. ...
The Assistant General Counsel and Compliance Officer reports directly to the General Counsel and is a key member of the Trust’s legal and compliance department. The Assistant General Counsel and Compliance Officer will assist in managing the Trust’s legal matters, focusing on compliance, ethics, con...
SEF Compliance Surveillance Lead and Advisory Compliance Officer - Legal & Compliance. We are looking for a Swap Execution Facility (SEF) Compliance Officer to join our SEF Compliance team. As part of the broader Compliance team, provide Compliance support to the broad range of businesses operated b...