- 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
- 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
- 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
- SMBC (White Plains, NY)
- …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
- Santander US (Dallas, TX)
- Regulatory Compliance Testing - Advisor Country: United States of America **Your Journey Starts Here:** Santander is a global leader and innovator in the financial ... Talk to You!** **The Difference You Make:** The Advisor, Compliance Testing (CT) plays a crucial role in ensuring...Reg. E, SCRA, and MLA. The purpose of this position is to evaluate policies and procedures, conduct testing… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Citigroup (Getzville, NY)
- The Sec & Derivatives Sr Analyst is an intermediate level position responsible for processing orders and transactions originating from trading desks and branch ... to facilitate the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Resolve complex process problems… more
- Wells Fargo (Charlotte, NC)
- …successful completion and clearing of a background check. Internal transfers are subject to compliance with 17 CFR 240.17f-2 of the Securities Exchange Act of ... **About this role:** Wells Fargo is seeking a Lead Compliance Officer to join the CIB Macro Business Aligned...+ 550 S Tryon Street, Charlotte NC + This position offers a hybrid work schedule + Required location(s)… more
- KeyBank (Amherst, NY)
- …wealth management products and services (eg - trust, private banking, securities /investment management) as well trust/fiduciary related compliance , operations, ... Road, Brooklyn Ohio **About the Job** As part of Key's second-line-of-defense Compliance Risk Management function, the Risk Evaluation and Assurance Program (the… more