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. ...
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...
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...
Other duties not listed here may be assigned as necessary to ensure the pr Compliance Officer, Director, Electronic, Officer, Compliance, Business Services, Regulatory. ...
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 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...
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...
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...
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...
When you join the Gartner Executive Partner for General Counsel (GC) team you will experience a high-performance work environment within a company that knows no limits. Gartner Executive Partners serve as trusted advisors to our members who are General Counsels from organizations across all industri...
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...
A top alternative investment manager with over $25 billion in committed capital, specializing in the financial services sector. 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, r...
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). ...
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...
You will work on regulatory compliance matters related to PartnerRe’s Accident & Health Business including producer appointment support, regulatory filings, state regulator inquiries, and cyber security compliance initiatives. Provide support for the regulatory compliance needs of PartnerR...
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...
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...
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, and contracts,...
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...
Draft written compliance programs for AML, consumer compliance (Reg E, UDAAP, GLBA), fraud, sanctions, etc. Prepare compliance reports for Compliance Officer, Senior Management, and/or Board;. Working knowledge/experience with virtual currency, non-US AML and regulatory compliance, fraud prevention,...
Position Overview of the Associate General Counsel:. As the Associate General Counsel at BLT, you will play a critical role in managing legal matters related to our real estate business. You will work closely with the General Counsel and other key stakeholders to provide legal guidance and ensure co...
Newsweek is actively seeking an experienced Assistant General Counsel to join our legal team and provide expert legal guidance to our weekly news magazine. Assist in managing outside counsel for litigation and claims, ensuring efficient and cost-effective legal representation. Provide legal support ...