• Director of Compliance

    Aegon Asset Management (Cedar Rapids, IA)
    …for a Director of Compliance . This position will report to TFA's Chief Compliance Officer (CCO). The candidate will support the CCO in managing the ... remediation plans. Job Description Responsibilities + Advising the Chief Compliance Officer of potential regulatory risks, gaps,...other relevant field + 8+ years of regulatory or securities compliance experience, preferably in a retail… more
    Aegon Asset Management (05/15/25)
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  • FICC Sales and Trading Compliance

    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 diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… more
    SMBC (05/12/25)
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  • Senior Compliance Consultant

    Manulife (Boston, MA)
    …the impact to policies and procedures. + Provide compliance reporting to the Compliance Director, Chief Compliance Officer (s) and Global Compliance ... a department that is critical to supporting the oversight of the compliance programs for John Hancock Distributors LLC ("JHD"), John Hancock Investment Management… more
    Manulife (05/02/25)
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  • Compliance and Operations Manager

    Insight Global (Los Angeles, CA)
    …Compliance /Operations Manager for an investment firm in Los Angelos, CA. As a Compliance Officer , you will be responsible for ensuring our firm's ... compliance with all applicable federal and state regulations, including...of 1940, the Investment Company Act of 1940, the Securities Act of 1933, and Securities Exchange… more
    Insight Global (05/13/25)
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  • Associate General Counsel, Corporate…

    CoStar Realty Information, Inc. (Arlington, VA)
    Associate General Counsel, Corporate and Compliance Job Description **ASSOCIATE GENERAL COUNSEL, CORPORATE AND COMPLIANCE ** **OVERVIEW** CoStar Group (NASDAQ: ... attorney to serve in the role of Associate General Counsel, Corporate and Compliance . The position will report to the General Counsel currently based in Arlington,… more
    CoStar Realty Information, Inc. (05/02/25)
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  • Compliance Specialist

    Manulife (Boston, MA)
    …Hancock's Records Management Program. + Provide compliance reporting to the Compliance Director, Chief Compliance Officer (s) and Global Compliance ... Reporting to the Compliance Director, the Compliance Specialist is...must have a base knowledge and understanding of broker-dealer securities regulation (investment adviser/investment company a plus) and broker-dealer… more
    Manulife (05/10/25)
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  • Department Leader- Compliance Risk

    Edward Jones (St. Louis, MO)
    …complex fiduciary, compliance and risk management issues to the Chief Compliance Officer (CCO), governance committees, senior leaders and associates, as well ... Your primary responsibilities will focus on maintaining and continually evolving the compliance program for the Trust Company, which is comprised of over 4,000… more
    Edward Jones (04/19/25)
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  • Director, Information Compliance Risk…

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …and/or specialized training in financial services industry information and records management compliance to support the firm's overall efforts to manage information ... compliance risk. This role is responsible for collaborating with...**Essential Duties and Responsibilities** + Support the Chief Privacy Officer (CPO) and VP, Books and Records Governance to… more
    Raymond James Financial, Inc. (04/08/25)
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  • Compliance Program and Practices, Vice…

    MUFG (Tempe, AZ)
    …follow up with people across various entities, and prepare reports for review by Chief Compliance Officer . + The leader will use their expertise in reporting and ... details. **_Job Summary:_** Reporting to the Head of Core Compliance Practices for Americas, you will lead various activities...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
    MUFG (03/29/25)
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  • Trade Surveillance Associate ( Compliance )

    TD Bank (New York, NY)
    …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $150,000 USD TD is committed to providing fair ... details for this role. **Job Description:** The TDS US Compliance team is looking for Associate candidates to join...**Depth & Scope:** + Works independently as the senior officer and may coach and educate others + Individual… more
    TD Bank (05/11/25)
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