Seeking an experienced compliance officer to join our team as the new Director, Electronic Trading Compliance Officer. In this role, the compliance officer will be responsible for ensuring compliance with all relevant U. Director, Electronic Trading Compliance Officer, U. Ensure compliance with rele...
Other duties not listed here may be assigned as necessary to ensure the pr Compliance Officer, Director, Electronic, Officer, Compliance, Business Services, Regulatory. ...
Interactive Brokers | Compliance Officer – Electronic Trading. ...
The Compliance Officer - Broker Dealer Sales Practices will work with Distribution Personnel and will focus on compliance with US and Latin America sales practices including:. The Global Compliance group is responsible for ensuring that Franklin Templeton follows all rules and regulations and that i...
Collaborate with compliance consultants on compliance monitoring schedule, annual enterprise-wide compliance risk assessment, monitoring reviews and other risk assessments. This individual will be responsible for overseeing and managing all compliance-related activities within the organization and a...
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...
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 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...
Click on Learn more about this agency button below to view Eligibilities being considered and other IMPORTANT information.WHERE CAN I FIND OUT MORE ABOUT OTHER IRS CAREERS? Visit us on the web at www.Yes-as determined by the agency policy.You may be expected to travel for this position.Relocation ex...
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...
Identifies issues to be pursued based on large, unusual or questionable items that produce a significant tax or compliance effect and utilizes the tax law and facts needed to resolve them. If you are not in compliance, you will be determined unsuitable for employment with IRS. ...
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...
Identifies issues to be pursued based on large, unusual or questionable items that produce a significant tax or compliance effect and utilizes the tax law and facts needed to resolve them. ...
This is a contract opportunity.Position: Phlebotomist 8361Location: Issaquah, WASchedule: see belowProjected duration: 3 months + potential for permJob code:CVDJP00028361 benefits are available two positions open , will need one candidate to work 7:30AM to 4:30PM PST and the other worker will need t...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Testing team responsible for assessing compliance risks and controls implemented by the first and second line of defense. VP, Compliance Testing Officer - Hybrid. Internal Job Title: Compliance Testing Officer- C...
Our client is one of the fastest growing wellness and personal care companies in the world and they are seeking a highly skilled and experienced Senior Manager of Global Trade Compliance to join their team. This position will be responsible for managing all aspects of international trade operations,...
Assisting with the automation and maintenance of ongoing REIT compliance reporting, in coordination with risk, compliance, tax, and public reporting groups. The Tax Manager will be responsible for:. Regularly monitoring of REIT compliance, including estimating current taxable income, assisting with ...
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 ...
Manager / Senior Manager, Compliance & Reporting Specialist. KPMG is currently seeking a Manager / Senior Manager to join our Global Compliance Management Services practice. Collaborate with and guide internal teams and clients through transition and execution of corporate compliance engagements, in...
Specifications: Maintain current product specifications, establish specifications based on manufacturers' C/A's, create and sign specification sheets, maintain 'Customer Specifications' folder, and record new product specifications.Conduct monthly reviews of the Kosher program with Rabbi, maintain c...
Click on Learn more about this agency button below to view Eligibilities being considered and other IMPORTANT information.WHERE CAN I FIND OUT MORE ABOUT OTHER IRS CAREERS? Visit us on the web at www.Yes-as determined by the agency policy.You may be expected to travel for this position.Relocation ex...
The Assistant General Counsel will provide day-to-day legal and regulatory support to multiple specialty niche business units including commercial bond, political risk and trade credit, fine art and specie, terrorism and political violence, structured risk solutions and programs. Reports to Associat...
The Public Safety Officer is responsible for the safety and security of patients, visitors, physicians and employees. Hospital and departmental standards of safety and security; patrols and inspects buildings and premises and reports problems to appropriate authorities; performs investigations and d...
Enters all Production and Indirect data into the Productivity Accountability Tracking System (PATS)/Labor Management software not interfaced directly from SCAN.Analyzes each associates' daily activity to identify and correct issues with data transmission, incorrect transferring of associates, and In...
Swiss Re's Regulatory Operations team has a wonderful opportunity for a diligent, detail-minded Compliance Specialist to support our North America product offerings and policy issuance!. This position also responds quickly to internal inquiries on product regulatory compliance, applying problem-solv...