The Compliance Officer is an integral part of the Firm’s Compliance team. Will report to and work closely with the company's Chief Compliance Officer as to issues, problems, and sales practice. Compliance experience with a Broker-Dealer or an Investment Adviser / Broker-Dealer, Compliance Consulting...
The compliance officer will be responsible for primary coverage of the Global Equities Derivatives Trading business. For all responsibilities the individual will liaise with management in Equities division and functional leaders in compliance, legal, risk, and IT to provide effective challenge, guid...
Contract Compliance Officer - Night Shift. Contract Compliance Office - Night Shift. Ensure compliance with client policies & procedures, approved cleaning tools and equipment and their proper use. ...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)'s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Assisting with the identification of Significant Complianc...
The Compliance COO is, among other things, responsible for Regulatory Identification and Change Management (RICM) Program; Compliance Risk Assessment; Compliance Risk and Control Self-Assessment (RCSA) of Compliance-owned process operational risks; Compliance Issue Management; Compliance Monitoring;...
Provide ideas for the enhancement of the compliance testing program, monitoring plan, and industry research, leveraging Compliance advisory. Compliance Testing Program, a critical program element of the U. Regulatory Compliance Management (RCM) framework for RBC Combined U. Leading compliance testin...
Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing transactions and identifying potential conflicts of interest. Partnering with other ICRM teams and global functions, including Legal, Risk, Operations and ...
Fidelity Compliance, a 600-person organization, is accountable for business unit compliance strategy and oversight in addition to providing enterprise services and policies regarding Ethics, Digital Compliance practices, Anti-Money Laundering. As the leader of the Compliance team for Fidelity Digita...
Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management...
This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk. SMBC Group is seeking a Compliance Transformation Officer for the Compliance Department Americas D...
The CCO will manage examinations and communications with regulatory entities, handle regulatory filings, manage customer complaints, and perform ongoing compliance surveillance functions. Initially, you will work closely with the CEO to develop the role and compliance structure within the company. B...
The Compliance Anti-Money Laundering (AML) Risk Management Senior Officer is a senior level position responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader AML team. Maintain AML compliance p...
Global bank located in Jersey City looking to bring on board a “Employee Compliance Officer – VP” to join their team. Play a lead role with implementing employee compliance policies, in conformance with written procedures. Timely escalate high-risk requests for a second review, including any evidenc...
Oversee administration of compliance policies and procedures for the Funds, including oversight of portfolio compliance for the Funds, compliance testing for various Fund activities, administration of the Funds' Code of Ethics, and monitoring of quarterly compliance reporting by the Funds' service p...
We are looking for a Regulatory Governance Compliance Officer to:. Legal to ensure Compliance with regulatory requirements and firm policies and procedures. You'll be working on the Broker Dealer Regulatory Governance Team (BDRG), a unit within Compliance and Operational Risk Control (C&ORC). We...
This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk. SMBC Group is seeking a Compliance Transformation Officer for the Compliance Department Americas D...
The CCO will manage examinations and communications with regulatory entities, handle regulatory filings, manage customer complaints, and perform ongoing compliance surveillance functions. Initially, you will work closely with the CEO to develop the role and compliance structure within the company. B...
Provide advisory coverage and conduct ongoing monitoring and surveillance of trading and covered fund activities for compliance with the Volcker Rule (the “Rule”) across 140+ desks and 500+ covered fund investments. Execute compliance monitoring reviews which audit the effectiveness of internal cont...
The Risk Management & Compliance CFO organization acts as strategic partners and trusted advisors to the Risk and Compliance organization. As part of RM&C CFO, the RM&C Finance & Business Management team supports the firm's Chief Risk Officer, RM&C Chief Financial Officer and the Risk Operating Comm...
The Risk Management & Compliance CFO organization acts as strategic partners and trusted advisors to the Risk and Compliance organization. As part of RM&C CFO, the RM&C Finance & Business Management team supports the firm's Chief Risk Officer, RM&C Chief Financial Officer and the...
Fun Chief Compliance Officer - HYBRID. This position will act in the capacity of Chief Compliance Officer for certain investment company clients. Primary responsibility will be to ensure fund and service providers' compliance with Rule 38a-1 of the Investment Company Act of 1940. Oversee maintenance...
Fun Chief Compliance Officer - HYBRID. This position will act in the capacity of Chief Compliance Officer for certain investment company clients. Primary responsibility will be to ensure fund and service providers’ compliance with Rule 38a-1 of the Investment Company Act of 1940. Oversee maintenance...
We are keen to see CV's from Compliance Officer, Building Safety Officer, Senior Compliance Co-ordinator, Compliance Surveyor, Fire Safety Co-ordinator, Asbestos Co-ordinator. We are actively looking for a Compliance Officer to join a local authority in the Nottinghamshire area on a temporary basis....
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Assisting with the identification of Significant Complianc...
As a Compliance - OFAC Sanctions Officer - Associate in Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient. The job responsibilities of this Sanctions Compliance Officer position involve the completion of processes around regulatory promoten sanction...