THE LARGEST COLLECTION OF COMPLIANCE JOBS ON EARTH
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... - Corporate and Investment Bank Compliance - Privacy and Information Protection ... - Privacy and Information Protection Compliance Officer - Vice President','170093418','!*!JPMorgan Chase & ... is a leader in..
... nResponsibilitiesnThis role is a Senior Compliance Officer for CIT Capital Securities LLC, ... is responsible for managing the compliance programs for the BD (Broker ... of the BD and..
BA/BS, MBA or professional certification preferred. 7-10 years relevant product/financial services and/or auditing or compliance experience preferred. Thorough knowledge of Financial Services rules and regulations. Solid understanding of Compliance Risk ..
... product/financial services and/or auditing or compliance experience preferred. Thorough knowledge of ... and regulations. Solid understanding of Compliance Risk Management and best practices. ... Make your mark: bnymellon.com/careers.Risk and..
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 ..
DEPARTMENT: Compliance JOB TITLE: Futures - Compliance Officer LOCATION: New York TASKS AND ... the implementation of the Firm’s Compliance Program. Conduct internal compliance reviews and investigations. Assist with .....