The overall responsibility of this Compliance Officer position is to assist Invesco, Ltd. Address day to day compliance issues related to trading strategies and the application of technology related controls created and applied in the OMS by the Compliance department. Maintain Evergreen Compliance -...
This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic company within a rapidly expanding legal and compliance department. SVP, Compliance and Risk Officer. Hub Retirement and Private Wealth ("RPW"), will be a highly visible, ...
As a Compliance Officer, you will be primarily responsible for ensuring that the company's business complies with applicable rules and regulations, regulatory requirements, internal company policies and ethical standards. Address day to day compliance issues related to trading strategies and the app...
Seeking Titles: Chief Compliance Officer; Director of Regulatory Compliance; Director Risk and Compliance. Proven track record of leading and improving compliance programs by implementing successful operational and compliance control enhancements at my previous three firms which reduced compliance r...
This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic company within a rapidly expanding legal and compliance department. VP, Compliance and Risk Officer. Hub Retirement and Private Wealth (“RPW”), will be a highly visible, senior lead...
This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic company within a rapidly expanding legal and compliance department. SVP, Compliance and Risk Officer. Hub Retirement and Private Wealth (“RPW”), will be a highly visible, senior lea...
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 responsibilities of this role will mainly focus on the management and oversight of multiple commodities trading compliance functions, including developing policies and procedures, performing risk assessments and internal controls, and providing real-time advice and interpretation of applicable l...
Bank Compliance Officer – To $110K – Houston, TX – Job # 3334. Bank Compliance Officer role in the greater Houston, TX market. Bank Compliance Officer responsibilities include:. This role will be responsible for performing quality control reviews, including analyzing and reporting on all Bank regula...
Bank Compliance Officer role in the Houston, TX area. Bank Compliance Officer responsibilities include:. This role will be responsible for performing quality control reviews, including analyzing and reporting on all Bank regulations across all business lines to identify regulatory compliance weaknes...
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 Boa...
As a Compliance Officer, you will be primarily responsible for ensuring that the company’s business complies with applicable rules and regulations, regulatory requirements, internal company policies and ethical standards. Address day to day compliance issues related to trading strategies and the app...
Serve as advisor to Compliance Officer I and Compliance Officer II advisory employees. The Senior Compliance Officer, Advisory, is responsible for providing guidance related to bank regulatory compliance requirements in a leadership advisory capacity and serving as a subject matter resource to the A...
Assist the Vallourec Group Compliance Department in ensuring Vallourec North America subsidiaries (mainly located in US, Canada and Mexico) compliance with the applicable legal and regulatory standards, and to the guidelines and corporate policies set by the Vallourec Group, related to anticorruptio...
Lead the SIMG compliance program, including review and administration of compliance policies and procedures, and update new policies and procedures as needed to ensure adherence to state, federal and other laws that pertain to the firm’s business and industry best practice. Conduct periodic risk ass...
The overall responsibility of this Compliance Officer position is to assist Invesco, Ltd. Address day to day compliance issues related to trading strategies and the application of technology related controls created and applied in the OMS by the Compliance department. Maintain Evergreen Compliance -...
Bank Compliance Officer - To $110K - Houston, TX - Job # 3334. Bank Compliance Officer role in the greater Houston, TX market. Bank Compliance Officer responsibilities include:. This role will be responsible for performing quality control reviews, including analyzing and reporting on all Bank regula...
As a member of the Group Compliance Department, the Regional Compliance Officer to assist the Group Compliance Officer (based in France) in ensuring that the Vallourec Companies within North America region (mainly located in the US, Canada & Mexico) operate in compliance with the applicable regulati...
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 Boa...
The Compliance Officer II, Advisory is responsible for providing guidance related to regulatory compliance requirements in an advisory capacity and serving as a subject matter resource to all lines of business. Advises business units on remediating regulatory compliance issues identified through sel...