- Insight Global (New York, NY)
- Job Description The Compliance Officer will work closely with the members of a team focusing on regulatory compliance issues with respect to marketing and ... other investor/third party materials and communications. The Compliance Officer will serve as the primary...and International regulatory standards * Analyze marketing material for compliance with regulatory standards including, SEC, FINRA … more
- MUFG (Irving, TX)
- …Delivery (DIA-ID) team, which is part of the GFCD Operations Financial Crime Compliance - Data Analytics (FCC-DA) function, this new position has been created for ... in business intelligence or data analytics, preferably in Financial Crime compliance , internal to MUFG, another global financial institution or FinTech firm.… more
- MUFG (Tempe, AZ)
- …will provide more details. **Job Summary** **WORK EXPERIENCE:** + Experience in compliance testing, regulatory examination, audit, or risk management. + Exposure to ... regulatory exams or inquiries. + Experience with Core Compliance requirements such as Ethics, Data Privacy, Information Handling, Records & Information Management,… more
- T. Rowe Price (Owings Mills, MD)
- …that matter to you . About this Position Reporting to the Broker/Dealer Chief Compliance Officer , the role is responsible for ensuring compliance programs ... of independence and is responsible for ensuring the firm's compliance with FINRA , SEC, MSRB and State... vision and strategy in conjunction with the Chief Compliance Officer . + Monitor ongoing legal and… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Market Risk Officer for the Market Risk Cross Functional Oversight team withing the Corporate Market Risk Group ... (MRO), and support functions such as business management, control teams, compliance and internal audit + Partner effectively with Business Stakeholders, Sales… more
- Wells Fargo (Charlotte, NC)
- …this role:** Wells Fargo is seeking a Senior Lead Credit Risk & Approval Officer that approves, monitors and manages the credit exposure within the Corporate & ... not eligible for VISA sponsorship. + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a… more
- ADP (Florham Park, NJ)
- … compliance platform by associates. + Obtain approval from the Chief Compliance Officer for associate financial accounts and notify financial institutions of ... coordination with internal teams, external vendors, and regulatory authorities to maintain compliance with FINRA and state regulatory requirements. The ideal… more
- PNC (Coral Gables, FL)
- …the best experience and advice for our clients. As a Business Development Officer Sr. - Insurance Strategist within PNC Bank's Private Bank Insurance organization, ... opportunities using latest technologies F. Constant focus on customer needs and compliance with the most stringent standards (fiduciary) G. Become the Internal risk… more
- Cleveland Research Company (Cleveland, OH)
- … Associate is a key resource for the firm by assisting the Chief Compliance Officer in identifying and mitigating potential conflicts and risks associated with ... internal department training sessions and client webinars for any Compliance questions + Assist with FINRA exams as applicable + Assist with annual compliance… more
- Tompkins Community Bank (Plymouth Meeting, PA)
- Overview The Chief Investment Officer (CIO) provides executive leadership and serves as the senior TFA Investment executive and a member of the TFA executive ... Investment Program - Oversee the multi-billion-dollar TFA investment portfolio. Ensure compliance with TFA's Investment Policy and applicable laws. Manage asset… more