Serve as the Audit Liaison for Compliance cover a number of topics including but not limited to: conducting monthly Compliance/IAD touch points; participating in all Compliance related Audit Reviews to ensure Compliance is meeting IAD expectations and timelines and provide consistent messaging to ma...
Directors of Payments Strategy, Payment Systems Manager, Payment Solutions Architect, Merchant Services Manager, Head of Payment Operations, Payments Compliance Officer, Payment Product Manager, Treasury Manager, Receivables Manager. ...
A company is looking for a Compliance Officer - Risk Evaluation and Assurance (REA). ...
Cerberus is seeking an analytical and collaborative Compliance Officer to join our team. Knowledge of StarCompliance, MyComplianceOffice, ComplySci or similar code of ethics software programs. While the primary focus will involve Anti-Money Laundering, sanctions and anti-corruption related responsib...
Our client, a well-established Alternative Investments firm is seeking to add a Compliance professional to support the growth of the business with an opportunity to join a high performing team. Developing ongoing policies & procedures & monitoring the Compliance program in accordance with FINRA regu...
Corporate Banking Compliance Officer, AVP page is loaded. Corporate Banking Compliance Officer, AVP. Partner with Relationship Managers/Product Groups to enable more enriched discussions on risk/AML/Sanctions compliance issues, while managing the progress of KYCs from an end to end basis for an assi...
This is a critical role overseeing compliance for core parts of Forge’s business, reporting directly to the Head of Compliance. Maintain and enhance the company’s BD and RIA compliance program. Develop, implement, and maintain Forge’s broker-dealer and RIA compliance programs. Manage a staff of expe...
Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk manageme...
Senior Compliance Officer - MNPI. This role will provide senior Compliance coverage in relation to handling of material non-public information as it pertains to firm trading, with a focus on distressed credit, CMBS and wall crossings. Operating in close partnership with the existing Compliance and L...
Requesting feedback on regulatory changes from subject matter experts, including Legal and Compliance coverage and other stakeholders; coordinating their input into the Regulatory Tracker module of the Compliance Department’s Governance, Risk and Compliance (GRC) tool. Regulatory Change Compliance O...
Chaperone calls to ensurepliance with policies and regulations.Maintain detailed records and conduct audits.Monitor and mitigatepliance risks associated with investments.Implement risk mitigation strategies.Enforce the fund's Code of Ethics.Manage regulatory filings (, Form ADV, Form PF).Review mark...
Support Investment Banking Compliance Coverage in executing the Investment Banking Compliance program, including compliance risk assessments and reporting. Broker dealer located in Midtown Manhattan looking to bring on board an “Control Room – Compliance Officer” to join their team. Conduct day-to-d...
Develops, implements, and maintains a system for confidential reporting and investigation of compliance concerns with an appropriate response process, including coordination of an external compliance reporting system allowing for anonymous, non-retaliatory compliance reporting. Oversees, develops, a...
Seniorpliance Officer - Trade / Export Control - Legal &plianceThe energy of a newsroom, the pace of a trading floor, the buzz of a recent tech breakthrough; we work hard, and we work fast - while keeping up the quality and accuracy we're known for. We are seeking a Trade / Export Controlpliance Off...
Summary: The Compliance Department at Credit Agricole's Combined US Operations (CUSO) seeks an individual to join the department and report to the CUSO Head of Compliance Risk Assessment, being responsible for coordinating the Compliance Risk Assessments (CRA) across all business lines on behalf of ...
The Chief Compliance Officer, Brokerage, will champion a culture of compliance and will be responsible for managing compliance for Robinhood’s broker dealers. Coordinate compliance roles and responsibilities with the enterprise compliance team. The candidate will serve as an advisor for Robinhood Fi...
Serves as a senior compliance risk officer facing WaW/Citigold/CPC for Independent Compliance Risk Management (ICRM) Sanctions responsible for establishing internal strategies, policies, procedures, processes related to monitoring and fostering awareness of sanctions regulatory requirements that Cit...
As our Senior Information Security Compliance Officer, you will be part of our Information Security team, overseeing our InfoSec compliance requirements. This role partners with several areas of Digital Science and adds value through delivering a robust compliance framework to meet our ever evolving...
Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management...
Natixis seeks vp-level Compliance Officer to join and grow with the CIB Americas Compliance Department. As a member of the Compliance Advisory Team, the Compliance Officer will provide day to day coverage of SEC Security-Based Swap Dealer (SBSD) regulation, CFTC Swap Dealer (SD) and NFA regulation, ...
Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and deliver a risk management...
As a Compliance Director, you’ll play a pivotal role in our global compliance team, ensuring that our Compliance Program for the indices division is effective and aligned with best practices. S&P Global is seeking a Compliance Director to join our Compliance Team for the S&P Global Dow Jones Indices...
Reporting into the Enterprise Chief Compliance Officer, this is a leadership role within SoFi’s Compliance organization. Broker dealer and RIA, Aadvise the Compliance and Legal teams on emerging compliance issues, regulatory changes, and new rules, and consult and guide the company in the esta...
Professional certification is highly preferred, such as Certified Bank Compliance Officer (CBCO), Certified Regulatory Compliance Manager (CRCM), or Certified Regulatory and Compliance - Professional (CRCP) would be an asset. The Compliance Officer will oversee Emigrant’s compliance function, as wel...
The Assistant General Counsel and Compliance Officer reports directly to the General Counsel and is a key member of the Trust’s legal and compliance department. The Assistant General Counsel and Compliance Officer will assist in managing the Trust’s legal matters, focusing on compliance, ethics, con...