- Berkshire Bank (Boston, MA)
- Division: Asset Management Department: Berkshire Wealth Management Reports to: Managing Director & Chief Investment Officer, Wealth Management Status: ... of the Wealth Management (Trust department) business and the Berkshire Banc Investment Services business. The VP, Compliance Officer is also responsible… more
- Scotiabank (Dallas, TX)
- …draft supporting materials and testing report get submitted to the Head of GBM&T Compliance Testing, Director of Swap Dealer and Derivatives Compliance ... least 3 of which should involve testing or audit. + Experience/background in compliance applicable to institutional trading & sales, investment banking, futures… more
- Thrivent Financial (Minneapolis, MN)
- …leaders in the Investment division. The incumbent reports to the Director , Portfolio Compliance . Job Responsibilities and Duties + Maintain and administer ... compliance oversight for Thrivent's General Account, mutual funds, and other investment accounts. Portfolio Compliance oversight includes ensuring that all… more
- CBRE (Dallas, TX)
- …Policy requirements and other key international regulatory frameworks + Assist the Director , Global Policy Management compliance initiatives, as assigned + ... Compliance , Senior Manager (Training & Project Management) Job...the global leader in commercial real estate services and investment that helps businesses and people thrive. We are… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is committed to providing fair ... **Job Description:** We are seeking an experienced Conflicts Officer to join our Compliance Control Room at TD Securities. This role is critical in reviewing,… more
- Abbott (Sylmar, CA)
- …plan to ensure compliance with policies and procedures. + Assists OEC Director /ECO on compliance audits, oversees the fulfillment of auditors requests, acts ... 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
- KeyBank (Amherst, NY)
- …to evaluate controls to identify potential weaknesses and/or control gaps. + Assist Compliance Director and Executive with the ongoing design, development, and ... wealth management products and services (eg - trust, private banking, securities/ investment management) as well trust/fiduciary related compliance , operations,… more
- KeyBank (NY)
- …all of the fiduciary activities that KeyBank engages in. In partnership with the Compliance Director , this position will assist in the growing, formalization and ... assessments across KeyBank's wealth and fiduciary delivery channels in collaboration with the Compliance Director . + Design and execute risk-based compliance … more
- Abbott (Sylmar, CA)
- …monitoring to ensure compliance with policies and procedures. + Assists the Compliance Director /ECO on compliance audits: assists in the fulfillment of ... can qualify for free medical coverage in our Health Investment Plan (HIP) PPO medical plan in the next...updating and maintaining basic and routine elements of Abbott's compliance program at the franchise, business unit, divisional or… more
- City of New York (New York, NY)
- …has committed $5 billion in new capital funding, bringing the 10-year planned investment in housing to $22 billion the largest in the city's history. This ... investment , coupled with a commitment to reduce administrative and...Enforcement, and the Division of Neighborhood Preservation to ensure compliance with legal and regulatory obligations. The Office of… more