- 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
- 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
- TD Bank (New York, NY)
- …to join our team in New York City. The ideal candidate must have compliance experience in the investment banking space, preferably in an advisory capacity. ... will primarily focus on the management of the firms compliance program supporting all corporate investment banking...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Wellington (New York, NY)
- …and investment grade private credit, and is one of the fastest growing investment groups within Wellington. The Business Manager will work closely with the ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments...clients. **About the Role** We are seeking a Business Manager for the Private Investments Platform. Wellington has been… more
- TIAA (Denver, CO)
- … Manager - Private Asset Management is an individual client-facing, investment manager opportunity (wealth management). Candidates should possess this level ... Portfolio Manager The TIAA Private Asset Management Portfolio ...expectations, and market conditions. + Evaluates the performance of investment portfolios and ensures compliance with standards… more
- Aflac (New York, NY)
- …to : Director, Head of Data Governance GI Business Partners: GI Front Office, Investment Compliance , GI Data Management (Japan), Investment Accounting, Tax, ... VP, Data Strategy & Governance Manager The Company: Aflac Asset Mgt. LLC The...New York City, NY, US, 10005 The Division: Global Investment Job Id: 8073 About Our Company Aflac Asset… more