Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)s Surveillance team responsible for the design, implementation, and oversight for a suite of surveillances designed to detect behaviors that may violate regulatory rules or internal policies and procedures. Particip...
This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk. Managing compliance-driven initiatives and/or processes which require close partnership with compl...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Assisting with the identification of Significant Compliance...
Summit Financial LLC is seeking an engaged, detail oriented and self-motivated Compliance Officer to join its Compliance Department. The Compliance Officer will be responsible for day to day compliance functions relating to our investment advisory business. The Compliance Officer must possess except...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Assisting with the identification of Significant Compliance...
The Compliance Anti-Money Laundering (AML) Risk Management Senior Officer is a senior level position responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader AML team. Maintain AML compliance p...
Senior Compliance Officer, Investments Compliance. Join us as a Senior Compliance Officer, Investments Compliance to play your part in that transformation. Perform compliance due diligence of external managers compliance programs. Global Legal, Compliance and Regulatory (GLCR). ...
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. Also responsible for performing risk assessments of Citi's compliance risks; performing in...
Chief Compliance Officer Swap Execution Facility. Serve as Chief Compliance Officer (CCO) advising on day-to-day issues for all Swaps executed through the Firm's Swap Execution Facilities ("SEF"). Assist in pulling the necessary information for regulatory reviews, audits and other examinat...
Serves as a compliance risk officer program support 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 framework...
The Compliance Anti-Money Laundering (AML) Risk Management Senior Officer is a senior level position responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader AML team. Maintain AML compliance p...
The Risk Management & Compliance CFO organization acts as strategic partners and trusted advisors to the Risk and Compliance organization. As part of RM&C CFO, the RM&C Finance & Business Management team supports the firm's Chief Risk Officer, RM&C Chief Financial Officer and the Risk Operating Comm...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Assisting with the identification of Significant Complianc...
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...
This team focuses on several key compliance risk types, including consumer compliance, investment banking related compliance, conduct, regulatory compliance, reputation, strategic, and technology risk. SMBC Group is seeking a Compliance Transformation Officer for the Compliance Department Americas D...
The Compliance Anti-Money Laundering (AML) Risk Management Senior Officer is a senior level position responsible for establishing internal procedures to prevent money laundering and assist in all matters concerning financial crimes in coordination with the broader AML team. Maintain AML compliance p...
Summit Financial LLC is seeking an engaged, detail oriented and self-motivated Compliance Officer to join its Compliance Department. The Compliance Officer will be responsible for day to day compliance functions relating to our investment advisory business. The Compliance Officer must possess except...
Cross River’s Compliance teams make sure that our business is always consistent with current regulations, and as Chief Compliance Officer, you play a key role. We are looking for a Chief Compliance Officer to ensure that our operations, our third-party providers, and business transactions follow all...
The Employee Compliance Officer will join a team that is responsible for implementing the firm’s policies on personal trading and investments, outside business activities, political contributions, and certifications and attestations. This position reports to the Head of Employee Compliance in the SM...
Senior Compliance Officer, Investments Compliance. Join us as a Senior Compliance Officer, Investments Compliance to play your part in that transformation. Perform compliance due diligence of external managers compliance programs. Global Legal, Compliance and Regulatory (GLCR). ...
The Compliance Officer is an integral part of our DASH Compliance team. Will report to and work closely with the company's Chief Compliance Officer as to issues, problems, and sales practice. Compliance professionals facilitate business decisions within a dynamic regulatory environment, solve issues...
The Risk Management & Compliance CFO organization acts as strategic partners and trusted advisors to the Risk and Compliance organization. As part of RM&C CFO, the RM&C Finance & Business Management team supports the firm's Chief Risk Officer, RM&C Chief Financial Officer and the Risk Operating Comm...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Assisting with the identification of Significant Complianc...
Senior Compliance Officer, Investments Compliance. Join us as a Senior Compliance Officer, Investments Compliance to play your part in that transformation. Perform compliance due diligence of external managers compliance programs. Global Legal, Compliance and Regulatory (GLCR). ...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Compliance Independent Assessment (CIA) team responsible for assessing compliance risks and controls implemented by the first and second line of defense. Assisting with the identification of Significant Complianc...