- Scotiabank (Houston, TX)
- Senior Manager, CIB & Research Compliance Officer **Requisition ID:** 218082 **Salary Range:** 99,790.00 - 190,995.00 _Please note that the Salary Range shown is a ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member of the...degree desired but not required. + Securities licenses, eg, Series 79 preferred, but not required + Strong computer… more
- Wells Fargo (Charlotte, NC)
- …accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... **About this role:** Wells Fargo is seeking a Lead Compliance Officer to join the CIB Macro Business Aligned...ability to develop and execute action plans + FINRA Series 7 or 24, or willingness to obtain within… more
- CIBC (New York, NY)
- …(https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Capital Markets Compliance Examination Specialist is responsible for the execution of ... the US Compliance Examination Plan established to ensure adherence with broker-dealer...plus + Professional licenses and certifications desired (SIE, FINRA Series 7, CCOS or IACCP a plus) + Working… more
- Ford Motor Company (Dearborn, MI)
- …supporting over 21 million vehicles in production worldwide. The Security Compliance Engineer will partner closely with Cloud Engineering, DevOps, and Security ... Type 2 standards. This role is central to leading compliance initiatives from start to finish, ensuring robust protection...a deep dive into what you love, or a series of new teams and new skills? Will you… more
- Stryker (Portage, MI)
- As a **Senior Compliance Engineer,** you will be responsible for educating the business on all aspects of compliance with US and international standards and ... testing processes and equipment. Your primary goal is to assure product compliance while designs meet functional requirements and design inputs throughout the… more
- PNC (Chicago, IL)
- …This position is a vertical within the national footprint. License requirements: FINRA SIE and Series 7, 63, & 79 or the ability to achieve these licenses within 120 ... industry and market developments, deal flow and regulatory requirements. Maintains compliance with policies and regulations. Provides coaching to other team members.… more
- PNC (Winston Salem, NC)
- …industry and market developments, deal flow and regulatory requirements. Ensures compliance with policies and regulations. Provides coaching to other team members. ... Building, Corporate Finance, Decision Making, Economic Policy, Equities Trading, Financial Management, Structuring **Competencies** Alignment, Decision Making and Critical… more
- Bank of America (Wellesley Hills, MA)
- …should be directly involved + Monitor advisor and client activity including financial transactions to ensure compliance with firm and regulatory requirements ... legacy, and other life goals through investment advice and guidance. Merrill's Financial Advisors and Wealth Management Client Associates help clients pursue the… more
- Bank of America (Chicago, IL)
- …should be directly involved + Monitor advisor and client activity including financial transactions to ensure compliance with firm and regulatory requirements ... are guided by a common purpose to help make financial lives better through the power of every connection....job is responsible for a wide variety of delegated compliance , administrative, and business functions to support the Merrill… more
- Ally (Lansing, MI)
- **General information** **Ref #** 19942 **Remote?** No **Ally and Your Career** * Ally Financial only succeeds when its people do - and that's more than some cliche ... hourly compensation and a sign-on bonus, as well as financial housing assistance for those who qualify * Successful...within the Office of Legal and Corporate Affairs and Compliance . The responsibilities of these functions are to drive… more