- Citigroup (Chicago, IL)
- The Investment Relationship Officer is a developing professional role. Deals with most problems independently and has some latitude to solve complex problems. ... and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to...both internal and external + Ability to multi-task + FINRA SIE, Series 7, Series 66 required (or obtained… more
- Edward Jones (Tempe, AZ)
- …The Field Supervision Department plays a critical role in achieving the Compliance Division's purpose of promoting our client's best interests and choices by ... partnering to improve our culture of compliance and enable the best experience for all. Our...and diverse workforce. Field Supervision Officers are registered with FINRA as designated supervisory principals to enforce firm and… more
- GE Vernova (New York, NY)
- …will report to the Enterprise Development, Growth & Excellence ("EDGE") Chief Compliance Officer in New York, NY. **Job Description** **Essential ... risk profile of the Company to the EDGE Chief Compliance Officer and commercial resources. + Risk...and private equity. + Experience with and understanding of compliance obligations for broker-dealers which are FINRA -member… more
- US Bank (Cincinnati, OH)
- …and retention of existing accounts. Administers accounts in a manner which ensures compliance with the governing documents, state statutes and US Bank policies and ... procedures. Responsible for meeting all corporate and regulatory compliance standards. **Basic Qualifications:** + Bachelor's degree, or equivalent work experience +… more
- US Bank (Seattle, WA)
- …and retention of existing accounts. Administers accounts in a manner which ensures compliance with the governing documents, state statutes and US Bank policies and ... procedures. Responsible for meeting all corporate and regulatory compliance standards. **Basic Qualifications:** + Bachelor's degree, or equivalent work experience +… more
- SMBC (New York, NY)
- …to front office to ensure consistent and complete credit applications and compliance with internal policies and procedures + Ensure US Regulatory requirements are ... may not be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire workweek is required.… more
- T. Rowe Price (Owings Mills, MD)
- … compliance requirements. + Responsible for drafting quarterly and annual chief compliance officer reporting under Rule 38a-1 and Rule 206(4)-7 and overseeing ... to you . Role Summary Partners with internal clients to implement strategic compliance initiatives for T. Rowe Price's proprietary and subadvised 40 Act products… more
- Neuberger Berman (New York, NY)
- …join the Compliance Team in New York. This person will report into the Chief Compliance Officer - Central Compliance . In this role, the primary focus is ... to contribute to collaborative projects across the firm's global compliance program. **Primary Responsibilities:** + Review and analyze reports generated… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... a competitive portfolio of benefits to its employees. **Role Description** The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory… more
- Raymond James Financial, Inc. (Denver, CO)
- **Essential Duties and Responsibilities** + Support the Chief Privacy Officer (CPO) to define and achieve the strategic vision for the corporate Privacy Program. + ... assess privacy-related risk with business partners to identify and address privacy-related compliance gaps or areas of privacy risk in support of business… more