- HSBC (New York, NY)
- …communities and the planet we all share. Reporting to the Senior Manager of Securities Lending Operations, this role is in a newly formed Post Trade team situated ... the US, providing operational support for the HSBC Agency Securities Lending Trading desk. Acting as point of contact...in areas such as IT and Control + Ensure compliance with all relevant regulatory, legal, audit, bank and… more
- Securities and Exchange Commission (Washington, DC)
- Summary The Division of Corporation Finance is seeking to fill the position of the Senior Officer-Associate Director (Disclosure Operations). This position is ... of Corporation Finance. Responsibilities The Disclosure Operations (DO) Associate Director position is in the Division of Corporation Finance located in Washington,… more
- JPMorgan Chase (New York, NY)
- …support for the Credit business covering products spanning the derivatives, securities , and loans asset classes. Assist with projects related to improving ... of knowledge for various regional regulatory requirements that govern CDS and Securities transactions and use their discretion to ensure that any potential breaches… more
- Marex (New York, NY)
- … Securities -Based Swap Dealer (Marex Securities Products, "MSP"). The position will primarily focus on providing real-time compliance support and ... services. For more information visit www.marex.com (http://www.marex.com/) Purpose of Role: The Compliance Associate - Swap Dealer will contribute to the ongoing … more
- Berkshire Bank (Boston, MA)
- …division. This position will provide leadership and strategy for the compliance and risk management of the Wealth Management (Trust department) business and the ... Location: Hybrid - Boston, MA - 60 State St Purpose/Objective: The VP, Compliance Officer Asset Management will develop, strengthen, and maintain the compliance … more
- Securities and Exchange Commission (Washington, DC)
- …promotion for up to 1 year as the Acting Associate General Counsel position located in Washington, DC. The selected applicant will be temporarily promoted to ... the Senior Officer position for up to 1 year with the option...Review Group provides legal analysis and advice on federal securities laws, administrative procedure, and other applicable laws to… more
- Securities and Exchange Commission (Washington, DC)
- …for fair, orderly, and efficient markets and regulates major securities market participants (broker-dealers, self-regulatory organizations (also known as SROs, ... which include securities exchanges, FINRA, and clearing agencies), security based swap...this plan. Individuals must be minimally qualified for this position to receive consideration for special priority selection. CTAP… more
- State of Montana (Helena, MT)
- *Why Work with Us?* The Montana State Auditor, Commissioner of Securities and Insurance (CSI), has an exciting opportunity for an Insurance Policy Compliance ... To learn more about our agency, benefits, and this position , visit our "Work with Us" page on our...Montanans by regulating two of the state's largest industries, securities and insurance. Our mission is to foster a… more
- SMBC (Jersey City, NJ)
- …SMBC's Compliance Department Americas Division ("CPAD") is seeking a Compliance Monitoring and Testing Associate. The Associate-level position is responsible ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...for supporting the monitoring and testing program. This position will principally serve as a team member for… more
- HUB International (New York, NY)
- …Compliance and Risk Officer, will be a highly visible, senior leadership position , reporting directly into the Global/Executive Chief Compliance and Risk ... in mergers and acquisitions. This is a unique opportunity for an experienced compliance leader to join a multi-billion-dollar, high growth, dynamic company. This … more