General compliance tasks as needed, including working with compliance team members that specialize in other functional areas. Manage the implementation of compliance-related projects, identify areas of compliance vulnerability and risk, develop/implement corrective action plans for resolution of iss...
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...
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 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...
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...
Experience in conducting investigations, analyzing basic business operations, verifying compliance with specific laws or activities in the petroleum industry. Experience analyzing complex business operations, verifying compliance with fuel tax laws or activities in the petroleum industry. ...
A reputable financial services institution is looking for a Compliance Officer to join their team! In this role, you will be responsible for overseeing compliance with all trading and investment regulations and requirements for the securities and commodities sectors. This includes assisting the team...
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...
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 ...
Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) to support the. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance advice relating to the supported function/business/product and gui...
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 ...
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...
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...
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 provi...
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”), but is not an officer...
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 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...
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 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...
Compliance Officer II- NewlineLOCATION -- Cincinnati, Ohio 45227. Analyzes data by numerous delivery channels, geographic area, product types, facility, and even employee or officer to identify risks and Develop and recommend scope or target for the Review, corrective action/or performance gap closu...
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...
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 provi...