Large broker dealer located in Midtown Manhattan or Los Angeles looking to add a “VP – Capital Markets Compliance Officer” to their team. Assist with the design and execution of regulatory compliance testing for Capital Markets business; test compliance with policies and standards and identify key r...
Key Responsibilities:General· Secretary (schedule & take the minutes) of the Committees managed by CACIB US Complianceo US Compliance Management Committeeo US Complex Transaction Committeeo US New Activity Product Committeeo US Disciplinary Committeeo Americas Data Protect...
Support the Compliance Division in formulating and performing a periodic review of key Compliance policies and controls to ensure that they remain robust and in line with regulatory standards and industry/peer best practices. These policies are in GIC’s Compliance Manual and Code of Ethics, includin...
It is part of the Global CMG function within the Investment & Corporate Banking Regulatory Compliance (“ICBRC”) group for CACIB worldwide. ...
Reporting to the Head of Compliance and GFC - MENA and working closely with Compliance Officer in Morgan Stanley Saudi Arabia, the individual will assume a number of responsibilities in Compliance and Global Financial Crimes (GFC) department. Working with the MENA Head of Compliance to deliver the a...
Management and Reporting:The Fixed Income Compliance officer reports directly to the US Head of Global Markets Regulatory Compliance Monitoring & Surveillance. Summary:The Fixed Income Compliance Officer is responsible for day-to-day monitoring and surveillance of the Global Markets Division (“G...
The Chief Compliance Officer & Head of Regulatory will lead CLEARs Compliance & Regulatory teams within Legal while working with teams across the company to build products & programs consistent with global laws & regulations. Oversee an effective compliance program per DOJ & SEC guidance, including,...
Innova Solutions is immediately hiring a .Position Type: Full-time-Contract....
The officer would be expected to perform routine security patrols, investigate reported and self-initiated complaints. The officer will also be available to operate all department vehicles which include campus shuttles and provide security escorts to students, faculty and staff upon request. Investi...
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 careers that give you a sense of purpo...
Our Compliance Associate will be responsible for supporting a dually registered (Broker-Dealer and Investment Adviser) firm's Compliance department. Emerge is actively recruiting for a COMPLIANCE ASSOCIATE with a fantastic financial advisory client firm of ours. Our client is growing and searchi...
Compliance Analyst Responsibilities:. Compliance Analyst Job Duties:. Compliance Analyst Skills and Qualifications:. Promotes the reliability of the Bulk Power System through rigorous compliance with applicable NERC standards monitoring and enforcement activities and functions as a team member for i...
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. ...
The Compliance Reporting Specialist works with other members of Conifer's Compliance team along with software technical support and management operations team members to ensure all monthly, quarterly and annual compliance reporting is submitted accurately and timely. Knowledge using affordable housi...
Develops and maintains constructive, influential relationships with internal and external business partners to ensure compliance needs are properly communicated and executed, as well as to minimize impact/cost of compliance to Paychex. Assesses compliance implications of potential acquisitions, new ...
Bergmann, an affiliate of Colliers Engineering & Design is currently looking for a Code Compliance Specialist to join our Architecture team. Assist project teams and clients with existing building evaluations relative to current code compliance and/or upgrades required for new uses and compliance. W...
Communicate regularly with manager to ensure maximum compliance with orders for optimal regulatory compliance. Review orders to ensure compliance and follows-up on issues identified until resolved, including but not limited to missing or wrong level signatures, incorrect address, missing dates, etc....
Act as resource for WMs, FCs, FSRs, Support Services staff and management concerning general compliance issues; act as a backup compliance contact for ESL FCU departments; and work on projects as needed and assigned by the Wealth Management Compliance Manager. Perform the day-to-day compliance as pr...
The successful candidate will be focused on creating the Security & Compliance Roadmap, being the security point person for our technology teams, compliance, security inquiries, as well as continuing to develop & maintain our automated security tests in our CICD processes. We are looking for a Direc...
Reporting into the Lead of the Sprint Compliance team, this Specialist will be responsible for the execution of billing the DOE for Special Education services provided by SA through bi-monthly invoicing cycles. They will also work collaboratively within the Sprint Compliance team to ensure that scho...
As a Security Guard/ Security Officer with Maximum Security, you will be an important part of our team. Our guards' fall into one of two major roles: Residential gated community security guard: the primary duties of a gated community security officer include greeting the g...
A Signal Dedicated Officer will conduct static security services for courtyards, offices, pools, and other high value areas to ensure all required access points are properly secured and to ensure protection of property and residents with a high degree of attentiveness to details and safety. Effectiv...
The Operational Compliance Analyst will be pivotal in ensuring our aviation teams are provided with robust data analysis & risk management, contributing to strategic decision-making across departments. Data Analysis: Utilize statistical tools & techniques to explore data, identify patterns, relation...
Provides concise and timely briefings to the General Counsel, senior level business and upper-level legal management. Other legal duties and responsibilities as identified by the General Counsel. Manages and participates in extensive research of legal principles and precedents and consults with outs...
Respond to regulatory and internal inquiries and advise on regulatory registrations and designation required based on covered activities· Assist in preparing for and coordinating internal audit and regulatory examsManagement and ReportingDirector in GMRC Registration team will report directl...