- 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
- Vanguard (Malvern, PA)
- … compliance program for Vanguard's broker-dealer business. Working for the Chief Compliance Officer , this compliance leader, directly and through a ... In support of our innovative and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex and compelling issues while… more
- KeyBank (NY)
- …equivalent experience + Prior experience in financial institution (i. e., bank and securities industry), compliance , Risk Management, or audit related activity + ... is taken to address regulatory expectations and to ensure Key maintains compliance with financial crimes regulatory requirements. Support the AML Enterprise Team… more
- 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
- State of Colorado (CO)
- …POST CERTIFIED AND HAVE A VALID AND ACTIVE COLORADO POST (PEACE OFFICER STANDARDS AND TRAINING) CERTIFICATE AT THE TIME OF APPLICATION. https://post.colorado.gov/ ... types of consumer/public harm. + Conducting criminal investigations. + Conducting compliance inspections. + Providing educational services to licensees and the… more
- Bank of America (Jersey City, NJ)
- …capital, liquidity and interest rate risks, including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the ... Rate Risk framework, the management of Interest Rate Risk through the ALM securities portfolio, and any Price Risk created through hedging activities performed by… more
- Neuberger Berman (New York, NY)
- …the "Trust Companies") are seeking a skilled and experienced Trust Investment Oversight Officer to join our team. The Trust Companies support the Private Wealth ... Personal Trusts, Collective Investment Trusts (CITs), and Outsourced Chief Investment Officer (OCIO) clients, such as endowments, foundations, and pension funds. The… more
- Citigroup (Miami, FL)
- Job Description A Service Officer provides service support to the Citi Private Latin America businesses. Their focus is to ensure that effective client service is ... relationships they build to recognize business growth opportunities. The Service Officer strives to continuously improve all of its end-to-end processes, procedures… more
- Citigroup (Tampa, FL)
- …focusing on a wide array of products including corporate, asset-backed securities , loans, derivatives, structured products and financings. In addition, SP provides ... investments through its Spread Products Investments in Technologies program. **Business Risk Senior Officer I - Senior Vice President:** SP is seeking a Senior Vice… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** TD Securities Compliance team is seeking a Director-level candidate to lead the ... Chief Data Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office Technology to deliver a… more