Collaborate with compliance consultants on compliance monitoring schedule, annual enterprise-wide compliance risk assessment, monitoring reviews and other risk assessments. Ensure compliance with all lending and deposit Federal and State consumer compliance banking laws and regulations and adherence...
The successful candidate will report to the Chief Compliance Officer of 50 South and also the Alpha Strategies Fund, a registered closed-end fund managed by 50 South. This position is part of Northern Trust's Asset Management ("NTAM") Compliance team, led by the Head of Compliance for Asse...
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...
Compliance officer that will be responsible for supporting the local compliance program and related regulatory obligation. Assist with the development of specific aspects of a compliance program related to the operation of an SEC Registered U. Support the local compliance monitoring and testing prog...
In addition, the Compliance Officer will also be expected to work with the Chief Compliance Officer ("CCO"), Deputy CCO, and other senior leaders on strategic initiatives and essential workstreams. Directly working with and supporting our Deputy-Chief Compliance Officer and Senior Complian...
Global Regulatory Compliance, Mutual Funds is a five-person team responsible for overseeing the compliance programs of the US domiciled registered investment companies for the Chief Compliance Officers. Support the Chief Compliance Officers (CCOs) in the preparation, assembly, and dissemination of t...
The primary responsibilities of the Compliance Testing Officer include:. Managing the firm’s annual compliance testing program. Assist in the development of the firm’s compliance testing program, including testing procedures, methodologies, risk assessments and frequency schedules to comply with rel...
The successful candidate will report to the Chief Compliance Officer of 50 South and also the Alpha Strategies Fund, a registered closed-end fund managed by 50 South. This position is part of Northern Trust’s Asset Management (“NTAM”) Compliance team, led by the Head of Compliance for Asset Manageme...
Compliance officer that will be responsible for supporting the local compliance program and related regulatory obligations. Assist with the development of specific aspects of a compliance program related to the operation of an SEC Registered Investment Advisor, including integration work. Support th...
Support the Code of Ethics Program, including oversight of all personal securities trading, periodic attestations and certifications and related staff regulatory reporting obligations.Administer and manage a regional Code of Ethics programs, across multiple branch offices and investment platforms.In...
LAW FIRM SEEKING AN EXPERIENCED COO.We are looking for a Legal COO who plays all in.Who deeply understands employee engagement, is metrics-driven and KPI-obsessed, and gets fired up at finding a better way to improve and grow us and with us.Who is a virtuoso implementer who loves leading people and ...
Reporting to the SVP & CIO, the Chief Information Security Officer (CISO) designs, implements, operates, and optimizes all security strategies for the organization, managing closely a staff of 8 cybersecurity specialists. Work with Stamford Health leadership, the Corporate Compliance and Privacy...
Job Title: Associate General Legal Counsel. With a commitment to driving positive change in the renewable energy sector, we are seeking a dynamic and experienced Associate General Legal Counsel to join our team in Stamford, Connecticut. As an Associate General Legal Counsel, you will play a pivotal ...
This is a full-time position is to act as general counsel to the Firm and transaction counsel on deals. Clients are generally Global Fortune 500 companies. In addition, you will provide training to other team member in term sheet and confidentiality related matters and you will coordinate the relati...
Security Industry Specialists, Inc. SIS) provides security solutions to some of the most recognized companies and brands in the world. The Off Duty Officer (ODO) provides a safe and secure environment for the client. Management can be implemented through one on one security protection, residential p...
Compliance Director - Institutional Equities, Options & Fixed Income. ...
We are seeking a Compliance Associate with Legal or Compliance experience to join the Broker Compliance team. In this role, you will work as a member of Broker Compliance to conduct necessary diligence and compliance oversight of the firm’s broker relationships. Conduct due diligence reviews of brok...
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...
Associate General Counsel Qualifications: Juris Doctor ( JD) degree from an accredited law school Admission to the state bar and license to practice law in the relevant jurisdiction 3-5 years of relevant legal experience in real estate law; conveyancing, financing, easement, environmental and z...
COMPLIANCE DIRECTOR RESPONSIBILITIES:. COMPLIANCE DIRECTOR REQUIREMENTS:. COMPLIANCE DIRECTOR SALARY & BENEFITS:. Develop & Execute Compliance Management Systems Covering Multiple Regulatory Areas. ...
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 ...
Reporting to the SVP & CIO of Stamford Health, the Chief Information Security Officer (CISO) designs, implements, operates, and optimizes all security strategies for Stamford Health. Director, Information Services & Chief Information Security Officer (CISO). Work with Stamford Health leadership, the...
Applies basic knowledge of compliance, business, analytical, and communication skills to support compliance programs and processes that promote compliant and ethical behavior, meet regulatory obligations, and prevent, detect, and mitigate compliance risks. This position will focus on compliance with...
We are looking for a Senior Compliance Associate, Global Training to drive our training program forward with a focus on creating innovative, engaging, tailored training for the Group. Attention to detail, strong excellent communication skills, and a deep understanding of the latest compliance traini...
Citizens institutional broker-dealer, is seeking a highly skilled Compliance Director to lead our advisory and trade surveillance efforts. As the Director of Institutional Equities, Options, and Fixed Income Compliance, you will be responsible for overseeing both advisory and trade surveillance func...