- JPMorgan Chase (Jersey City, NJ)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging...200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking,… more
- Raymond James Financial, Inc. (Denver, CO)
- …Excel * Concepts, practices, and procedures of securities industry and/or banking compliance reviews. * Fundamental investment concepts, practices and procedures ... experience, specialized training and/or certification in securities or banking industry compliance to administer and manage an assigned compliance function.… more
- Raymond James Financial, Inc. (New York, NY)
- **Essential Duties and Responsibilities** + Oversees compliance and risk-related training and education processes in collaboration with internal stakeholders. + ... processes with key stakeholders. + May coach, train, and mentor others Compliance associates. + May coordinate with stakeholders to develop and implement continuing… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …experience, specialized training and/or certification in securities or banking industry compliance to assist in administering and managing an assigned compliance ... **Essential Duties and Responsibilities** + Assists the Capital Markets Fixed Income Compliance team with managing their core compliance program to ensure… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Duties and Responsibilities** + Oversees elements of the RJ Bank compliance program(s) to ensure regulatory requirements are addressed, including: + Insider ... Lending Program + Transactions with Affiliates Program + Manages the Compliance training by collaborating with RJF Compliance and the Organization Training and… more
- Raymond James Financial, Inc. (Denver, CO)
- **Essential Duties and Responsibilities** + Provides compliance support for the RJTNA and RJTCNH business units. + Performs human resources management activities ... as participating in interviewing and selecting staff within RJTNA and RJTCNH Compliance department. + Plans, assigns, monitors, reviews, evaluates, and leads the… more
- JPMorgan Chase (Columbus, OH)
- …enhance compliance , and build strong relationships with senior stakeholders. As a ** Compliance and Operations Risk Test Manager ** in the Testing Center of ... will be instrumental in identifying and mitigating risks, thereby enhancing compliance and operational risk management. Additionally, your aptitude in stakeholder… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …actions. + Serves as a leader for surveillance staff. + Oversees compliance exception reporting processes and approves corrective actions. + Schedules and oversees ... solutions to automate and streamline functions that improve the operational efficiency of compliance systems. + Serves as a compliance liaison on various… more
- City National Bank (New York, NY)
- …skills and be accustomed to working with deadlines. * Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or Certified ... * For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM). * For Wealth...Management Compliance roles, experience working within a Compliance Investment Management role. *Compensation* Starting base… more
- Wellington (Boston, MA)
- …plus professional designation (eg CFA) a plus + Experience working at a large investment manager with diverse business lines or in a capacity designing and ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our … more