Broker Dealer Compliance Officer. Compliance Exchange Group (www. CXG is a top-tier Principal outsourcing, and full-service compliance firm, servicing FINRA regulated broker-dealers across the U. Analyze and interpret regulatory and compliance issues. ...
Broker Dealer Compliance Officer. Compliance Exchange Group (www. CXG is a top-tier Principal outsourcing, and full-service compliance firm, servicing FINRA regulated broker-dealers across the U. Analyze and interpret regulatory and compliance issues . ...
Broker Dealer Compliance Officer. Compliance Exchange Group (www. CXG is a top-tier Principal outsourcing, and full-service compliance firm, servicing FINRA regulated broker-dealers across the U. Analyze and interpret regulatory and compliance issues. ...
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,...
Broker Dealer Compliance Officer. Compliance Exchange Group (www. CXG is a top-tier Principal outsourcing, and full-service compliance firm, servicing FINRA regulated broker-dealers across the U. Analyze and interpret regulatory and compliance issues . ...
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...
Broker Dealer Compliance Officer. Compliance Exchange Group (www. CXG is a top-tier Principal outsourcing, and full-service compliance firm, servicing FINRA regulated broker-dealers across the U. Analyze and interpret regulatory and compliance issues . ...
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...
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 controls. It is part of the Global CMG function within the Investment &a...
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...
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 responsibilities of the Compliance Specialist are to effectively develop, coordinate, and communicate commercial insurance product filings; perform regulatory research; and provide additional support and other regulatory functions as directed. Candidate will have expertise with ISO, NCCI, SERFF,...
EisnerAmper is looking to hire a Senior Manager to join its Risk and Compliance Services practice as a dedicated member of the National Security Advisory services team. The Risk and Compliance Services National Security team drives value by delivering a range of risk advisory and compliance solution...
Under the guidance of the General Counsel, the Associate General Counsel will work closely, collaboratively, and proactively with members of the Legal Department as well as Nikon Management. The Associate General Counsel will provide legal counsel and guidance on a range of legal matters within Niko...
Cockroach Labs is hiring a Compliance & Risk Analyst to support our Compliance Manager. Collaborate with internal teams to address pre-sales security & compliance questionnaires & attract customers by upholding modern compliance programs. In your second month, you will become an integrated member of...
As a Compliance - Executive Regulatory Briefings - Senior Associate in our Regulatory Strategy team, you'll have the opportunity assist the department with Executive Briefings and contribute to other reporting needs as time permits. Job Summary Join our dynamic Risk Management and Compliance te...
Security Officer - The Department of Motor Vehicle - Massapeque Massapequa, New York Save Job Responsibilities Career Path Rewards Security Officer - The Department of Motor Vehicle - Massapeque Position Type Part Time Shift Type Afternoon Req ID 2023-1121159 Work Days Available Friday,Monday,Wednes...
Our team is passionate about our mission: making peoples lives better.Were headquartered in NYC & offer hybrid NY-based positions (three days/ week in-office)....
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...
Research and analyze applicable legislation and Federal, State and Local regulations to ensure the company’s ongoing compliance. Provide guidance to Operations and other areas of the company on compliance issues with relation to area of expertise. Research and analyze applicable laws and regulations...
As a Manager, you'll work as part of a team of problem solvers, helping to solve complex business issues from strategy to execution. The Partner Tax Preparation Advisors program (PTPA) team is a national team comprised of dedicated tax professionals who serve as trusted advisors that provide tax com...
Senior Compliance Advisory Manager. This position requires close partnership with our financial crime compliance operational and product teams, with opportunities to present to senior stakeholders and shape the strategic direction of the financial crime compliance program. Represent fincrime complia...
As a member of BARKs Legal Team, the Director & Assistant General Counsel SEC & Compliance, will serve as a strategic legal advisor to the General Counsel. Provide legal support & due diligence for public offerings, mergers, acquisitions, & other partnerships & transactions & manage legal aspects (i...
SS&C, through its BPO partnership with Lighthouse, is currently seeking a candidate who will be part of a multi-dimensional middle to back office operations and accounting department responsible for all aspects of post trade matching, trade capture, and all aspects of daily operations, treasury ...
As a Manager, Compliance you will be responsible for oversight and implementation of compliance initiatives. Advise and consult on matters related to compliance with laws, regulations, applicable company policies, ethical behavior, and compliance trends. This role is responsible for assisting in the...