- Huntington National Bank (Columbus, OH)
- …Legal. Basic Qualifications: + Bachelor's degree + Experience as broker dealer Chief Compliance Officer or lead compliance director for investment ... will have knowledge of investment banking and capital markets compliance requirements including relevant FINRA , SEC, OCC...and capital markets compliance requirements including relevant FINRA , SEC, OCC and MSRB rules and regulations with… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer covering North American Cash Equities Sales and Trading businesses. The role is responsible ... **Responsibilities:** + Strong knowledge of and comfort with providing Compliance guidance in relation to applicable FINRA ...providing Compliance guidance in relation to applicable FINRA and SEC rules including REG SHO, 5320, Reg… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- CHIEF FINANCIAL OFFICER Dunham & Associates Holdings, Inc. and its subsidiaries (collectively, "Dunham") is a thought leader in the financial services industry. The ... solutions and related services. Job Summary: (Purpose of Job) The Chief Financial Officer is responsible and accountable for all aspects of the Company's financial… more
- BMO Financial Group (New York, NY)
- …in the office each week is the expectation Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer ... and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of… more
- Truist (Charlotte, NC)
- …and responding to regulatory requests for BD / RIA. Leads and executes compliance risk management activities to reasonably ensure compliance with the Enterprise ... controls to determine gaps. Lead or assist in leading compliance initiatives necessary in implementing changes. 3. Analyze and...3. Experience in complaint resolution and exam management 4. FINRA licensed- Series 7 & 24 **General Description of… more
- Truist (Richmond, VA)
- …(United States of America) **Please review the following job description:** Support compliance risk management processes through the performance of compliance ... to meet regulatory requirements. 3. Analyze and provide guidance on complex compliance actual and emerging risk scenarios within business units and/or functions. 4.… more
- MUFG (Irving, TX)
- …Strategy and Oversight** , the Vice President, **Head of Financial Crimes and Compliance Human Capital Strategy** , is a critical divisional leader responsible for ... assess global talent + Oversee implementation of Global Job Architecture across Core Compliance and GFCD Globally + Partner with Global HR for staffing matters,… more
- SMBC (Jersey City, NJ)
- …of benefits to its employees. **Role Description** The Regulatory Change Management Officer works with the Regulatory Change Management Team as a Subject Matter ... timely implementation for SMBC. **Role Objectives** The Regulatory Change Management Officer role works with departments across SMBC Americas Division to coordinate… more
- US Bank (Minneapolis, MN)
- …(BSA/AML) Officer is accountable for overseeing the Financial Crimes Compliance program and leads Enterprise Financial Crimes Compliance . The BSA/AML ... jurisdictions and is accountable for coordinating, monitoring, and managing compliance with financial crimes laws. The BSA/AML Officer...positions may also be subject to the requirements of FINRA , NMLS registration, Reg Z, Reg G, OFAC, the… more
- SMBC (New York, NY)
- …**Role Description** The Securitized Products and Capital Solutions Business Control Officer is primarily an individual contributor. The Securitized Products and ... the Coverage and Capital Markets/Structured Finance Solutions Vertical Business Control Officer . **Role Responsibilities** * Leads and provides expert guidance on… more
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