Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible... and maintaining best-in-class Compliance, programs, policies and practices for ICRM, specifically for Regulations Management...
of financial services, we also need to serve as a compliance advocate and resource for the communities we serve. As an compliance... officer in this role, you will: Conduct multi-faceted KYC AML reviews and investigations assigned from multiple sources...
to delivering innovative and compliant financial solutions to our diverse client base. Position SummaryThe Chief Compliance Officer... regulations, and engaging with the CFTC and NFAReporting StructureThe Chief Compliance Officer will:• Report to: Global Chief...
Investment and Corporate Banking Advisory Compliance Officer- Americas (“ICBA”) Vacancy details General information... of Jobs - Compliance / Financial Security Job title Investment and Corporate Banking Advisory Compliance Officer- Americas (“ICBA...
Summary: The Investment and Corporate Banking Advisory (“ICBA”) Compliance Officer - Americas is responsible for the.... Management and Reporting The ICBA Compliance Officer reports directly to the Head of Global Markets Regulatory Compliance...
Investment and Corporate Banking Advisory Compliance Officer- Americas (“ICBA”) Vacancy details General information... of Jobs - Compliance / Financial Security Job title Investment and Corporate Banking Advisory Compliance Officer- Americas (“ICBA...
Position Summary The Chief Global Compliance Officer (“CGCO”) is responsible to the Senior Vice President, General... Counsel for developing, executing, and enforcing the Global Ethics and Compliance Program in order to ensure compliance...
Looking to advance your career as a Compliance Officer and join a growing investment management business... development is important to us. About You You have at least 5 years' experience as a compliance officer, preferably...
Position Summary The Chief Global Compliance Officer (“CGCO”) is responsible to the Senior Vice President, General... Counsel for developing, executing, and enforcing the Global Ethics and Compliance Program in order to ensure compliance...
Position Summary: The Chief Global Compliance Officer (“CGCO”) is responsible to the Senior Vice President, General... Counsel for developing, executing, and enforcing the Global Ethics and Compliance Program in order to ensure compliance...
is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product... contacts for regulators such as FINRA, NFA, CFTC and FRB. The Compliance Officer role may manage a coverage area or process...
with and to continue growing and learning collaboratively. Impact We are seeking an experienced Global Chief Compliance Officer to lead..., flexible, innovative and adaptive Prior Head of Compliance or Chief Compliance Officer experience in finance, fintech...
U.S. Compliance Officer, Full Time - New York What will you do? Providing advisory and monitoring activities in support... Type of contract Permanent Remaining openings 1 Description & Requirements For our Compliance division in New York...
of benefits to its employees. Role Description The successful candidate will serve as the Chief Compliance Officer (CCO...) and be responsible for leading all components of the compliance program at an asset management firm in Manhattan, which engages...
Officer to join its global compliance team within the Legal and Compliance Department. This role will support the...’s Chief Compliance Officer (CCO) and members of the Legal and Compliance department, including: Reviewing relevant service...
Job Description: Job Title Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets... Corporate Title Assistant Vice President Location New York, NY Overview The Compliance Origination & Advisory division...
for a talented and motivated Associate General Counsel & Compliance Officer to join our Legal and Compliance team, reporting directly... to the General Counsel/Chief Compliance Officer. You will play a key role in providing legal counsel and compliance expertise...
Company: MMC Corporate Description: Marsh McLennan Agency (MMA) is seeking a Senior Compliance Officer to serve... brokerage businesses. The Senior Compliance Officer will cover an array of issues and will support the execution...
Company: MMC Corporate Description: Marsh McLennan Agency (MMA) is seeking a Senior Compliance Officer, Operations... to MMA’s Chief Compliance Officer, you will be responsible for designing and executing on the operational elements of MMA...
COMPLIANCE OFFICER SENIOR-REGISTERED INVESTMENT ADVISOR WHAT IS THE OPPORTUNITY? The Senior Compliance Officer... will act in a compliance oversight and advisory role supporting assigned business units including two registered investment...