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Vice President compliance officer AML Monitoring Cards Sector: Asset Management ... 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..
Position Summary : The E-Rate Compliance Officer of the Office of Federal ... of Federal and State Regulatory Compliance (OFSRC) manages the New York ... accomplish this goal, the E-Rate..
Senior Compliance Officer','NEW00838','!*!Position Summary: The Senior Compliance Officer is responsible for supporting the ... is responsible for supporting the compliance agenda for an SEC registered ... to the development of..
Lead Compliance Officer','NEW0083E','!*!MMC Securities Lead Compliance Officer: As a Lead Compliance Officer of MMC Securities LLC, a ... responsible for the overall securities compliance program of the firm. This .....
... 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..
The Chief Compliance Officer will insure that the company ... aspects of FINRA and SEC compliance as it relates to Research, ... that the Firm remains in compliance. -Oversee all..
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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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 ..
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 .....