- HUB International (East Longmeadow, MA)
- …array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services. Becoming a part of HUB ... and communicate recommendations to the customer in a timely manner subject to the compliance of Hub broker standards. + Maintain a working knowledge of all available… more
- Siebert Williams Shank (New York, NY)
- …York City headquarters. Only candidates with relevant prior experience in public finance investment banking or municipal advisory will be considered. At SWS, all ... and Oakland. SWS is a perennial leader as a co- manager of investment -grade corporate debt, a national...all activities and duties are carried out in full compliance with regulatory requirements and internal policies and procedures… more
- Janus Henderson Investors (Denver, CO)
- …sole discretion). You should be willing to adhere to the provisions of our Investment Advisory Code of Ethics related to personal securities activities and other ... investment communications, including macroeconomic commentary, market updates, portfolio manager perspectives, portfolio-specific commentary, positioning papers and/or other collateral… more
- Mizuho Corporate Bank (New York, NY)
- Responsibilities: Support direct team manager for all onboarding processes: + Manage daily onboarding requests for all divisions of Mizuho + End to end onboarding ... Liaise with Front Office and clients directly + Review monthly Americas Legal Compliance Dept. (ALCD) exceptions for new onboarding remediation + Adhere to internal… more
- Scotiabank (Houston, TX)
- Senior Manager , CIB & Research Compliance Officer... Advisory team which provides compliance advisory coverage for the Corporate & Investment ... Compliance Officer will serve as (1) primary compliance advisory coverage for Scotiabank's Houston based...advisory coverage for Scotiabank's Houston based Corporate & Investment Banking (CIB), Mortgage Capital Markets (MCM) and Equity… more
- Scotiabank (New York, NY)
- Compliance Testing Senior Manager , Swap Dealer...an inclusive work environment. + Work with Swap Dealer Compliance Advisory Team to perform Swap Dealer ... least 3 of which should involve testing or audit. + Experience/background in compliance applicable to institutional trading & sales, investment banking, futures… more
- TD Bank (Fort Lauderdale, FL)
- …the Compliance Business Oversight Manager will:** + **Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and ... of TD Bank, NA encompassing banking, custom credit, asset management, securities, investment advisory and insurance) through multiple legal entities (TD Bank… more
- HUB International (Austin, TX)
- **Job Title:** Manager , ERISA Compliance **Location:** Austin, TX **Department:** ERISA Compliance Services **Reports To:** VP, Institutional Advisory ... most competent professional team. **Job Summary** We are seeking an experienced and knowledgeable Manager of ERISA Compliance to lead and oversee compliance … more
- AECOM (Fresno, CA)
- …deliver a better world. Join us. **Job Description** **AECOM** is seeking a **Permitting Compliance Manager ** to work in **Fresno, CA** . This position is also ... project, which is redefining transportation in California. **SUMMARY:** The permitting compliance manager leads day-to-day construction compliance efforts… more
- Abbott (Abbott Park, IL)
- …working mothers, female executives, and scientists. **THE OPPORTUNITY** This **Cybersecurity Compliance Manager ** position can work **remotely within the US** ... you dream of. + Employees can qualify for free medical coverage in our Health Investment Plan (HIP) PPO medical plan in the next calendar year + An excellent… more