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...
An opportunity has arisen for a diligent and experienced individual to join our team in the role of Compliance Officer. Our perfect Compliance Officer would have:. The purpose of this role is to support with the implementation and maintaining of food compliance regulations. Ensuring that processes a...
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...
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,...
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...
Join our team as a Regulatory Compliance Officer, ensuring Yggdrasil remains compliant with all current and future license requirements. Manage the day-to-day compliance activities under such licenses by carrying out the mandatory reporting tasks, filing of annual returns, payment of license fees as...
Experience in conducting investigations, analyzing basic business operations, verifying compliance with specific laws or activities in the petroleum industry. Experience analyzing complex business operations, verifying compliance with fuel tax laws or activities in the petroleum industry. ...
It is part of the Global CMG function within the Investment & Corporate Banking Regulatory Compliance (“ICBRC”) group for CACIB worldwide. ...
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...
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...
Innova Solutions is immediately hiring a .Position Type: Full-time-Contract....
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 ...
Our Compliance Associate will be responsible for supporting a dually registered (Broker-Dealer and Investment Adviser) firms Compliance department. Emerge is actively recruiting for a COMPLIANCE ASSOCIATE with a fantastic financial advisory client firm of ours. The employee will assist in performing...
Compliance Senior Analyst, Independence Consultation - Business Relationships, Independence & Conflicts Network (ICN). Do you have a focus on compliance with regulations and policies? Are you passionate about quality-assurance and risk-management in a professional services environment? Then our Inde...
Must have working knowledge of the security function as well as New York State Penal and Traffic laws and be familiar with approved safety and security standards for university security. Performs all security functions and patrols (35%) * Enforce university regulations (5%) * Provide aid and assista...
Candidate should have strong customer service skills, the ability to work with people from varied walks of life at locations throughout Monroe C Security Officer, Officer, Security, Experience, Customer Service. The positions being hired for require a minimum of security experience or military equiv...
Security Guard / Patrol] - Competitive Pay & Benefits - As an Armed Security Guard you'll: Patrol assigned areas on foot or in a vehicle to ensure the security of the premises; Monitor surveillance cameras and alarm systems to detect and respond to security threats; Respond to alarms and emergency s...
Fortress Investment Group seeks an entry level Compliance Analyst to join the Fortress Compliance Department. The successful candidate will work with members of the Legal and Compliance Department and other departments and businesses around the firm on, among other things, the following major items:...
Investment Management - Portfolio Guideline Compliance - Associate. Investment Management - Portfolio Guideline Compliance - Associate. The RoleMorgan Stanley Investment Management is currently recruiting for an Associate role within EMEA Portfolio Surveillance. Perform daily Portfolio Surveillance ...
Need a CHANGE? Become a Security Officer!. At least 18 years of age or olderHigh school education or equivalent (GED)Legally authorized to work in the United StatesHave a solid/stable work historyDrug Testing and Background screening requiredSecurity, Military, Corrections, or Law Enforcement experi...
Prepares and presents quarterly reports for the Chief Compliance Officer (CCO), Executives, and the Audit and Compliance Committee of the RRH Board of Directors. Develops and implements an annual work plan for review and approval by the Chief Compliance Officer and the Audit and Compliance Committee...
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...
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 ...
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)....
The University of Rochester (UR) seeks to recruit a Chief Information Security Officer (CISO) who will lead cybersecurity for the University, including University of Rochester Medical Center (URMC) and its Affiliates. The CISO will set the strategy for cybersecurity in a complex, matrixed environmen...