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...
Job Description: Job Title Investment Bank Compliance Officer – Origination & Advisory Corporate Title Vice... to effectively influence others and engage senior stakeholders and foster collaboration among Compliance, the Business...
to about 200,000 additional people. Reporting to the Chief Compliance Officer (CCO) in the Compliance Department, the Senior Advisor... compliance efforts within those units. The Senior Advisor's portfolio will also focus on high visibility projects, investigations...
Counsel, with a particular focus on supporting the Senior Vice President and General Counsel, the Chief Compliance Officer... and Monday and Friday work from home. Senior Associate, Legal, Compliance and Government Affairs Communications Job Summary...
Counsel, with a particular focus on supporting the Senior Vice President and General Counsel, the Chief Compliance Officer... and Monday and Friday work from home. Senior Associate, Legal, Compliance and Government Affairs Communications Job Summary...
Chief Compliance Officer (CCO) functions. Responsibilities: Advising clients on compliance with the Securities Act...; advisory firm set-up, regulatory registration and infrastructure design; ongoing regulatory compliance (SEC, CFTC, and 40 Act...
career. Join us as a Senior Estate Officer (SEO) Brown Brothers Harriman is currently recruiting a SEO to join our Trust... with local attorneys and new business referral sources Systems, Policies, and Procedures Ensure compliance with all internal...
a Senior Corporate Regional Philanthropy Officer to support New York City and the surrounding communities. WHAT YOU NEED... TO KNOW: We are seeking an experienced and dynamic major gifts officer to join our development team as a Senior Regional...
Transaction Approval & Advice | Director, Senior Credit Officer, Americas | New York About ING: Ranked #8... (TA&A) New York is looking to support Front Office business growth ambitions by hiring a Senior Credit Officer (SCO) who...
Transaction Approval & Advice | Director, Senior Credit Officer | New York About ING: Crain’s 100 Best Places... by hiring a Senior Credit Officer (SCO) who will: be responsible for (1) executing client transactions from origination...
In this role, you will be directly reporting to the Chief Risk Officer, who is responsible for overseeing and managing... the organization's risk management framework. This position requires close collaboration with the Chief Risk Officer...
. This position reports directly to the Fireblocks' Senior Director of Compliance and Chief Compliance Officer for the regulated... with internal and external stakeholders, including senior management and regulators, to achieve effective, risk-based compliance...
Operations & Reporting Zurich Cover-More (ZCM) and the Chief Compliance Officer to design and implement our target state... data to senior leadership and governance bodies. Contribute to compliance risk assessments, identifying key risks...
. Other duties as assigned by the Senior Director of Regulatory Affairs or Chief Compliance & Regulatory Officer. Requirements.../regulations, including having held a senior position, in a managed care compliance or regulatory department and must possess...
is available at . Follow @blackstone on , , and . Blackstone seeks a Senior Vice President to join its Legal & Compliance team to provide... will report to and work closely with the Chief Compliance Officer of BXPE and collaborate with the PWS Legal & Compliance group...
Job Description: Job Title Swap Dealer and Security-Based Swap Dealer Compliance Corporate Title Vice President... Location New York Overview As a Swap Dealer and Security-Based Swap Dealer Compliance Vice President, you will have the...
? We are looking for someone for the following: The compliance officer will oversee a team responsible for coverage of the Equities & Equity Derivatives..., Central Risk Book, Exchange Traded Funds and Program Sales Trading & the UBS ATS. The compliance officer...
, and are able to adapt to a changing regulatory landscape. Swap Dealer Compliance seeks a Compliance Officer to advise internal...Job Description: Global Compliance Our division prevents, detects and mitigates compliance, regulatory...
visible construction and modernization projects under the guidance of a senior level Project Officer Ensure the quality...Project Officer II / III US-NY-Long Island City Job ID: 2023-2793 Type: Regular Full-Time # of Openings: 2...
closely with the senior leadership team, including the Chief Program Officer, Chief Compliance Officer, and Chief Human...Description Chief Financial Officer About the Job A nonprofit organization with a $250M+ budget seeks a Chief...