- Berkshire Bank (Boston, MA)
- …$170,031 Location: Hybrid - Boston, MA - 60 State St Purpose/Objective: The VP, Compliance Officer Asset Management will develop, strengthen, and maintain the ... (Trust department) business and the Berkshire Banc Investment Services business. The VP, Compliance Officer is also responsible for understanding and advising on… more
- Raymond James Financial, Inc. (New York, NY)
- …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision ... of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic… more
- Wells Fargo (New York, NY)
- **About this role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG) across both Capital ... TRACE, and other applicable FINRA, SEC, FRB, and OCC rules. + Provide compliance advisory support for Asset-Backed Securities (ABS) issuance, syndication, and… more
- SMBC (Jersey City, NJ)
- …offers a competitive portfolio of benefits to its employees. **Role Description** The Compliance - Functions Control Officer function plays a critical role in ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...environment. **SCOPE** The role will report to Functions Control Officer Lead for Compliance . The incumbent will… more
- HUB International (New York, NY)
- …SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a highly visible, senior ... leadership position, reporting directly into the Global/Executive Chief Compliance and Risk Officer , working closely with...and procedures designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US Compliance ... businesses, working with regional teams across the globe. This Compliance Officer will also support other aspects...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists in ... and ability to work independently. **General Job Posting:** The Compliance Officer supports consumer regulatory compliance...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- Securities and Exchange Commission (Washington, DC)
- …located in Washington, DC. The selected applicant will be temporarily promoted to the Senior Officer position for up to 1 year with the option to be extended and/or ... Review Group provides legal analysis and advice on federal securities laws, administrative procedure, and other applicable laws to...within 30 calendar days of the date of alleged non- compliance by contacting the Legal and Policy Office in… more
- Securities and Exchange Commission (Washington, DC)
- …Corporation Finance is seeking to fill the position of the Senior Officer -Associate Director (Disclosure Operations). This position is located in Washington, DC and ... Division's selective review of offering documents and periodic filings submitted pursuant to the Securities Act of 1933 and the Securities Exchange Act of 1934.… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer to join the CIB Macro Business Aligned Compliance Team. Learn more about the career ... Trading Compliance Team is a Business Aligned Compliance Officer (BACO). The BACO for this...of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities… more