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... 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..
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..
Compliance Officer - Team Lead - FIU ... 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..
OverviewnThe Regulatory Compliance Americas group in Compliance is a team of regulatory change experts who drive the centralized identification and communication of relevant new and amended banking and securities rules and ..
... with other working groups within compliance.nConducting ongoing compliance risk assessments nParticipate in internal ... with regulatory agencies and exchangesnProvide regulatory/compliance training as needednProvide front and ... and back office..
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 ..
Compliance Operations - SAR Quality Assurance ... Operations - SAR Quality Assurance Compliance Officer JPMorgan Chase & Co. (NYSE: ... Office (CAO) Operations team supports compliance, and manages and maintains..
... 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..
Major Job Responsibilities:Coordinate with the Legal Department the establishment and maintenance of the health licensing of the insurance company.Provide technical and product knowledge of health insurance to the Compliance Department to ..
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 ..
... position will be a senior compliance officer in the fund chief compiance ... in the fund chief compiance officer group which supports the dreyfus ... supports the dreyfus 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 ..
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 .....
Global Sanctions Compliance – Blocked Assets and Licensing ... Assets and Licensing Unit - Compliance Officer-Associate JPMorgan Chase & Co. (NYSE: ... equity. Description Global Financial Crimes Compliance (GFCC) team..
... and private equity.u00a0DescriptionGlobal Financial Crimes Compliance (GFCC) team is part of ... is part of The Global Compliance & Regulatory Management department which ... responsible for the provision of..
Compliance Officer','NEW00851','!*!Position Summary: The Compliance Officer’s (CO) primarily responsibilities will be ... identify and assess risk and compliance issues within the MMA businesses. ... the day-to-day operation of certain compliance..
nGlobal Employment Solutions is seeking a KYC Officer for a very large bank in Midtown Manhattan. If you are qualified and available, please apply to this ad with your updated resume. ..
Undergraduate degree or an equivalent combination of training and experience
5 years of compliance, risk management, or auditing experience
Knowledge in internal control and risk management
Asset management industry experience, ..
... join a growing team of Compliance Officers responsible for the review ... of resources set aside for compliance and discussion of any necessary ... any necessary improvements. Determine material..
Long Island City, NY
What you'll be doing
Manages a team within the AML investigations function. Collect and examine financial statements and documents to assist in identifying unusual patterns. Follow up ..
... looking for a full-time Corporate Compliance Officer to join their team and ... aspects of the Branch's corporate compliance program.Responsibilities: Oversees annual reviews and ... updates of Branch’s Legal..