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... and external Clients on all compliance issues. Work with local/national units ... for review. Plan and conduct compliance reviews ensuring the relevant client ... understood. Report on results of..
Vice President compliance Officer-AML Monitoring Cards Sector: Asset ... Sector: Asset Management Risk Type: Regulatory compliance Expertise: Regulatory compliance Primary Location: United States,New York,Long ... Education: Bachelor's Degree Job Function: compliance and Control..
... accurate employee trade surveillance and compliance solutions and business consulting while ... help them achieve their financial goals compliance Solutions, the leading provider of ... meet the needs of Corporate..
The General Counsel is URI’s chief legal advisor, responsible for overseeing the organization’s legal affairs and participating in the ongoing strategic planning process as a member of the senior management team. ..
... 2013 Job ID 1913814 Role: Compliance Associate/Contract Administrator Locations: New York, ... client seeks to hire a Compliance Associate/Contract Administrator. This position is ... the in house counsel and..
The Chief Compliance Officer will insure that the ... aspects of FINRA and SEC compliance as it relates to Research, Sales, Trading, ... that the Firm remains in compliance. -Oversee..
... The fundamental duties of the Compliance Specialist are to monitor the ... law and administrative regulations. The Compliance Specialist must exercise independent judgment ... REPORTING RELATIONSHIP: Reports to Sr...
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The successful candidate will be responsible ..
2 years of compliance, risk management, or auditing experience
FINRA Series 7/63 and 24 and required
Knowledge in internal control and risk management
Asset management industry experience, including mutual fund ..
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Seeking a candidate who will help ..
Do you have a unique background combining law and finance/hedge funds? Life After Law has the right opportunity for you! Our Client is a Hedge Fund in need of a Chief ..
... trade policies to ensure full compliance with the US and international ... management of the division export/import compliance program. Conduct annual internal audits ... audits to assess the export/import..
Tax Services Manager - Global Compliance & Reporting - Multiple Locations','NEW00IHX','US-NY-New ... market-leading approach combines extensive local compliance and accounting experience — in ... countries — with standard global compliance..
IT Advisory Senior, Financial Services, Regulatory ... Advisory Senior, Financial Services, Regulatory Compliance - Analytics','NEW00IH4','US-NY-New York','!*! We are ... wealth management, financial crimes, consumer compliance, and regulatory transformation. The opportunity..
DEPARTMENT: Compliance JOB TITLE: Futures - Compliance Officer LOCATION: New York TASKS ... the implementation of the Firm’s Compliance Program. Conduct internal compliance reviews and investigations. Assist with ... internal..
• 5 years of experience in B/D registrations required
• Have excellent written and verbal communication skills
• Be highly organized, flexible and willing to reprioritize
• Be client oriented..