Broker Dealer Compliance Officer Jobs in Massachusetts | ComplianceCrossing.com
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Broker Dealer Compliance Officer Jobs in Massachusetts






Job info
 
Company
Wells Fargo
Location
Boston, MA
Posted Date
Feb 16,2018
Info Source

Experience in a Risk / Compliance role in an Investment Advisory and/or Broker/Dealer business including experience with mutual funds, separate accounts, private funds, investments, and /or trading..

 
Company
Citizens Bank
Location
Canton, MA
Posted Date
Feb 13,2018
Info Source

... broker dealer, investment advisor, and/or insuranceproducts and firm activities. The candidate may also supportregulatory inquiries from State and Federal regulators. Timelinessand coordination of .....

 
Company
Santander Bank
Location
Boston, MA
Posted Date
Feb 13,2018
Info Source

... Dealer lending, Healthcare, Energy, Education, and Government Banking. GLOBAL CORPORATE BANKING ... and Compliance. JOB REQUIREMENTS & RESPONSIBILITIES We are looking for leaders with strong .....

 
Company
Santander Bank
Location
Boston, MA
Posted Date
Feb 13,2018
Info Source

... Dealer lending, Healthcare, Energy, Education, and Government Banking. GLOBAL CORPORATE BANKING ... and Compliance. JOB REQUIREMENTS & RESPONSIBILITIES We are looking for leaders with strong .....

 
Company
MassMutual
Location
Springfield, MA
Posted Date
Feb 08,2018
Info Source

... such as Compliance, Field Inspection, and Regional Supervisory Directors. • Specialized ... Officers and Regional Supervisory Directors, providing guidance on suitability concerns and .....

 
Company
MassMutual
Location
Springfield, MA
Posted Date
Feb 08,2018
Info Source

... Broker/Dealer business. Identify opportunity to enhance and update workflows, procedures, and ... Work with legal and compliance, peers, and management to carryout processing of legal orders and .....

 
Company
MassMutual
Location
Springfield, MA
Posted Date
Feb 07,2018
Info Source

... Brokerage accounts. * Review trading activity of registered representatives through supervisory ... compliance procedures. * Consult with registered representatives, Agency Supervisory Officers and .....

 
Company
Citizens Bank
Location
Canton, MA
Posted Date
Feb 07,2018
Info Source

Description The Compliance Officer I - Generalist will support ... will support all aspects of compliance activities ... Regulatory Agency for ... activities ... Regulatory Agency for broker dealer, investment..

 
Company
Wells Fargo
Location
Boston, MA
Posted Date
Feb 03,2018
Info Source

... National Broker Dealer (NBD), Independent Broker Dealer (IBD) client segments and enterprise ... also partner with Legal and Compliance to ensure adherence to .....

 
Company
Thermo Fisher Scientific
Location
Franklin, MA
Posted Date
Feb 02,2018
Info Source

The candidate will interface with freight forwarders, US customs officers, custom brokers, and ... Interface with carriers to assure compliance requirements and customers to ensure that their needs .....

 
Company
MAC
Location
Boston, MA
Posted Date
Jan 29,2018
Info Source

... doctors, police officers, veterans, firefighters, lawyers, salespeople, insurance brokers ... Dealing With Positive People All Martial Arts Styles - Japanese, Chinese, Korean, Indian, Tibetan .....

 
Company
Marsh & McLennan
Location
Boston, Massachusetts
Posted Date
Jan 27,2018
Info Source

The Mercer Americas Chief Compliance Officer is responsible for the company's US, Canada and Latin America risk and compliance programs and for overseeing a team of North America and Latin America ..

 
Company
ADPI LLC
Location
Springfield, MA
Posted Date
Jan 11,2018
Info Source

Broker/Dealer and Supervisory experience * Ability to work with offshore resources * SCLC * Srum Master Certification a plus * Compliance background Required Skills: * OFFSHORE * SOFTWARE DEVELOPMENT..

 
Company
EmpiraMed
Location
Maynard, MA
Posted Date
Jan 04,2018
Info Source

This person will work directly for the company President & CEO with oversight from the CFO ... Coordinate commercial insurance activities with broker (e.g. new properties and annual renewals..

 
Company
Job Juncture, Inc.
Location
Boston, MA
Posted Date
Dec 01,2017
Info Source

Working under the direction of the CFO, the Controller supervises a staff of four to ensure that ... Maintain high-level of compliance with policies and procedures..

 
Company
Deloitte
Location
Boston, MA
Posted Date
Oct 23,2017
Info Source

... compliance certifications (SOC2, GITC, PCAOB, HIPAA), Iaas/Paas/SaaS offerings, Microsoft Azure ... CTO (or EA leader) to ensure governance, standards and processes are understood and taken into .....

 
Company
United Technologies Corporation
Location
Westford, MA
Posted Date
Sep 27,2017
Info Source

... officers in their countries. + Responsible for maintaining positive financial results within the ... compliance matters is required. + Proven track record in program management and personnel .....

 
Company
MassMutual Financial Group
Location
Springfield, MA
Posted Date
Jun 22,2017
Info Source

... Broker/Dealer business. Identify opportunity to enhance and update workflows, procedures, and ... Work with legal and compliance, peers, and management to carryout processing of legal orders and .....

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