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Location
Draper, UT
Posted Date
Jan 16, 18
Info Source
Employer  - Full-Time   
Total Views
4

Job Summary Role The Compliance Monitoring & Testing Manager is responsible for planning, executing, reporting and/or escalating regulatory, enterprise wide, compliance based reviews covering various business processes including mortgage sales, origination, ..

 
Location
New York City, NY
Posted Date
Jan 16, 18
Info Source
Employer  - Full-Time   
Total Views
2

US Chief Compliance Officer-Capital Markets','1700024110','!*!The Chief Compliance Officer, Capital Markets leads and directs the U.S. Capital Compliance organization and serves as a member of the U.S. Compliance Leadership Team.  This position ..

 
Location
New York City, NY
Posted Date
Jan 16, 18
Info Source
Employer  - Full-Time   
Total Views
2

The Chief Compliance Officer, Capital Markets leads and directs the U.S. Capital Compliance organization and serves as a member of the U.S. Compliance Leadership Team. This position is accountable for the ..

 
Location
Philadelphia, PA
Posted Date
Jan 17, 18
Info Source
Employer  - Full-Time   
Total Views
2

Alternate Locations: Fort Wayne, IN (Indiana); Philadelphia, PA (Pennsylvania)Relocation assistance is not available for this opportunity.Requisition #42801About the CompanyLincoln Financial Group provides advice and solutions that help empower Americans to take ..

 
Company
Location
San Francisco, CA
Posted Date
Jan 16, 18
Info Source
Employer  - Full-Time   
Total Views
2

Description About Lending Club LendingClub (NYSE: LC) opened in 2007 with one simple mission: create a more efficient, open and customer-friendly alternative to the traditional banking system that offers creditworthy borrowers ..

 
Location
Stamford, CT
Posted Date
Jan 16, 18
Info Source
Employer  - Full-Time   
Total Views
2

Compliance Analyst - Ethics & Compliance - StamfordThis role will involve work in the following areas: Performs activities such as researching and compiling data for compliance tracking, metrics analysis and reporting ..

 
Location
Chicago, IL
Posted Date
Jan 16, 18
Info Source
Employer  - Full-Time   
Total Views
1

... The Business Willis Towers Watson’s Investment business assists its institutional investor ... in the management of their investment portfolios by offering a variety ... innovative managed account platform), delegated..

 
Location
Boston, MA
Posted Date
Jan 16, 18
Info Source
Employer  - Full-Time   
Total Views
2

... meaningful experience advising on the Investment Company Act of 1940 and ... Company Act of 1940 and Investment Advisers Act of 1940, as ... to ensure compliance with the..

 
Location
Boston, MA
Posted Date
Jan 16, 18
Info Source
Employer  - Full-Time   
Total Views
5

... support to the associated distribution investment adviser including support for products, ... requirements related to the distribution investment adviser business and must demonstrate ... financial services industryn8 years of..

 
Location
Atlanta, GA
Posted Date
Jan 16, 18
Info Source
Employer  - Full-Time   
Total Views
4

Compliance & Risk Specialist','252183','Federal Reserve Bank of Atlanta','GA-Atlanta','','Full-time','Regular','Exempt','Exempt','Entry Level Job Type','','','No','Day Job','','','Tier II - No Credit Check','Tier II - No Credit Check','','','','!*!Position Summary: Responsible for assisting with and supporting the development, ..

 
Job title
Location
New York City, NY
Posted Date
Jan 16, 18
Info Source
Employer  - Full-Time   
Total Views
1

... strong tradition of providing innovative investment ideas and a world-class experience ... must possessu00a0u00a0a broadu00a0u00a0understanding of an investment management firmu2019s businesses and its ... Financial Services Industry, in an..

 
Location
Boston, MA
Posted Date
Jan 16, 18
Info Source
Employer  - Full-Time   
Total Views
3

Compliance Risk Analyst','253441','Federal Reserve Bank of Boston','MA-Boston','','Full-time','Regular','Exempt','Exempt','Experienced','','','No','Day Job','','','Tier II CC@Hire/No CC@Rescreen','Tier II CC@Hire/No CC@Rescreen','','','','!*!Compliance Risk Analyst - Wholesale Payments   This position requires experience in risk analysis, compliance and the ability to ..

 
Location
New York City, NY
Posted Date
Jan 16, 18
Info Source
Employer  - Full-Time   

Job Title: Compliance Officer Leading Volcker Rule Compliance Program Corporate Title: Director Location: New York, NY About Deutsche Bank A Passion to Perform is what drives us. More than a claim, ..

 
Location
Durham, NC
Posted Date
Jan 16, 18
Info Source
Employer  - Full-Time   
Total Views
1

... and/or estate planning experience preferred Investment background/experience a plus The Purpose ... effective manner Your knowledge of investment management and financial principles Your ... responsible for drafting and reviewing..

 
Location
Jersey City, NJ
Posted Date
Jan 16, 18
Info Source
Employer  - Full-Time  
Total Views
1

Jersey City, NJ, USA Job Type: Permanent, Full time Company: BNY Mellon Updated on: 15 Jan 18 2018-01-15 Technology Compliance Officer 1716057 - TECHNOLOGY COMPLIANCE OFFICER Technology Monitoring and Control (TMC) ..

 
Location
New York City, NY
Posted Date
Jan 16, 18
Info Source
Employer  - Full-Time   
Total Views
4

Senior Compliance Manager-Investment Banking Research','1800000640','!*!The Compliance Management Professional, ... oversight of the Firm’s US Investment Banking and Research businesses. The ... in support of BMO’s Global Investment Banking business. Position..

 
Location
Charlotte, NC
Posted Date
Jan 17, 18
Info Source
Employer  - Part-Time     
Total Views
3

Company Bank of America Job Title Sr Business Control Specialist Jobid bankofamerica-17064309CharlotteNC Location: Charlotte, NC, 28230, USA Description **Job Description:** The Global Procurement Program Oversight & Controls team is part of ..

 
Company
Location
Buffalo, NY
Posted Date
Jan 17, 18
Info Source
Employer  - Full-Time   
Total Views
3

BSA Compliance Analyst I','3DGBS','!*!Basic Function: The Sanctions Screening team is dedicated to the BSA/AML core mission in assessing and mitigating risk and adherence to State, Federal, and international regulatory requirements; particularly ..

 
Location
Los Angeles, CA
Posted Date
Jan 17, 18
Info Source
Employer  - Full-Time   
Total Views
1

Req ID: 14744 Experience Level: Entry-Level Other Location(s): N/A Relocation offered: No Travel required: None Come grow with us At Capital Group, how we work is defined by shared values that ..

 
Location
Saint Petersburg, FL
Posted Date
Jan 17, 18
Info Source
Employer  - Full-Time   
Total Views
2

Advisor, RJFS Compliance','1800161','!*!Job Summary:   Under limited supervision, uses specialized knowledge and skills obtained through experience, specialized training and/or certification in securities and/or banking industry compliance to ensure compliance with all securities ..

 
Company
Location
New York City, NY
Posted Date
Jan 17, 18
Info Source
Employer  - Full-Time   
Total Views
3

Assistant Vice President Senior Regulatory Compliance Officer - Trade Surveillance (Foreign Exchange or Futures)','0000A1W1','!*!The individual will be part of the overall Capital Markets Surveillance program within the US. Market Surveillance develops, ..

 
Location
Chicago, IL
Posted Date
Jan 17, 18
Info Source
Employer  - Full-Time   
Total Views
1

Compliance Support (Finance) Analyst- Commercial Lending','1800000791','!*! Provide direct support to a team of Deal Specialists for the compliance monitoring requirements for heightened standards.   This position is responsible for monthly trigger and ..

 
Location
, NY
Posted Date
Jan 17, 18
Info Source
Recruiter  - Full-Time  

Attractions Excellent opportunity to advance your compliance advisory career with global a foot print funds company. The global leader in Investment Management for institutional and retail clients is seeking a senior ..

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