of benefits to its employees. Role Description This role will manage and oversee all Compliance-related issues (i.e., Internal...”) Complaints Management Framework. This key role within the Compliance Department will be responsible for ensuring that Compliance...
of the Chief Compliance Officer and will support FUTC's newly established ATS and trade surveillance for the firm's clients...). Our core mission revolves around innovating the investing landscape through a digitized brokerage and wealth management...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) testing team responsible... issues. Key Activities include: Participating in the planning, executing, and reporting of compliance testing reviews...
Job Summary Job Description What is the opportunity? The Regional Information Technology Risk Officer will report... to the Managing Director of US IT Risk. The US IT Risk team is responsible for providing a comprehensive view of IT Risk...
of benefits to its employees. Role Description Within the Compliance Department, the Know Your Customer (KYC) Vice President..., periodic reviews, special projects, and being a subject matter expert and assisting the Director of Production with day-to-day...