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...
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...
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...
Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM... include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating to operations, financial...
their ambitions faster. Senior Regulatory Product Senior Officer Our fast-paced Regulatory Product Team... is looking for an experienced Officer with a background in regulatory compliance related to products within the payments- or financial industry...
Application Deadline: 03/02/2025 Address: 151 W 42nd Street Job Family Group: Audit, Risk & Compliance... Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and corresponding...
Our firm, a leading Financial Services Clearing Organization, is seeking an experienced Compliance professional... to join our growing team. This role requires a deep understanding of regulatory compliance within equity and options trading, as well...
, executable prices—instantly actionable at scale. As we grow, we’re seeking a dynamic General Counsel & Chief Compliance Officer... experience as GC, CCO, or senior legal/compliance leader in a broker-dealer, ideally an ATS. FINRA licenses: 7, 24. 53...
oriented exceptional professional to serve as Assistant Agency Chief Contracting Officer (AACCO) of Compliance. The... MANAGER or ADMINISTRATIVE MANAGER The Bureau of the Agency Chief Contracting Officer within the Division of Finance...
Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day...
Job Description: Job Title Compliance Officer – Investment Bank Compliance – Origination & Advisory – Capital Markets... others and engage senior stakeholders and foster collaboration among Compliance, the Business and other infrastructure functions...
and regulations. Assist the Compliance Manager, Senior Compliance Officer, and Risk Assessment team with the evaluation of compliance... QA testing results. Work with Senior Compliance Officer, Compliance Manager to maintain audit tracking logs...
and regulations. Assist the Compliance Manager, Senior Compliance Officer, and Risk Assessment team with the evaluation of compliance... QA testing results. Work with Senior Compliance Officer, Compliance Manager to maintain audit tracking logs...
to delivering innovative and compliant financial solutions to our diverse client base. Position SummaryThe Chief Compliance Officer... (CCO) will serve as the senior leader responsible for developing, implementing, and overseeing Corpay's global compliance...
Job Title: Fractional Chief Compliance Officer (Healthcare Industry) Position Type: Independent Contractor (1099... Compliance Officer (CCO) to provide strategic oversight and guidance on compliance matters within the healthcare industry...
, highly effective compliance program. The Chief Compliance Officer of Figure Lending will lead the Lending compliance team... and oversee the related compliance and regulatory functions. The Chief Compliance Officer of Figure Lending will assume primary...
communicate testing results to stakeholders which may include the Chief Compliance Officer, the Executive Committee and Senior...Summary: Under supervision of the Head of Compliance Testing and Monitoring, as part of the Credit Agricole CIB...
Chief Compliance Officer, the Executive Committee and Senior Management · Track and monitor issues identified from the... and Monitoring Officer Contract type Permanent Contract Job summary Summary: Under supervision of the Head of Compliance...
Overview We are seeking a highly skilled and experienced Senior Compliance Officer to join our team. This pivotal... detailed reports on compliance findings and present them to senior management. Stay updated on changes in regulations...
and Trading Compliance Officer ("Sales and Trading Compliance Officer") within Guggenheim Securities. The Sales and Trading... Compliance Officer advises and assists the Firm's Sales and Trading Divisions in establishing, implementing, and testing...