- TD Bank (New York, NY)
- …more specific details for this role. **Job Description:** **Position:** Senior FCRM Compliance Officer **Reports to:** Director, Financial Crime Risk Oversight, ... risks of new products and mandates. The Senior FCRM Compliance Officer is responsible for supporting the...to 7 years of knowledge and experience in FCRM compliance , preferably within the investment banking division… more
- Huntington National Bank (Columbus, OH)
- Description The Senior Risk Officer - Investment Management colleague will operate within the Investment Management space, playing a key role in the delivery ... of risk strategy and execution for Huntington's Broker/Dealer, Registered Investment Advisor and Trust Investment Management businesses. Incumbents will be a key… more
- Citigroup (New York, NY)
- The Investment Assoc Intmd Analyst is a developing professional role. Deals with most problems independently and has some latitude to solve complex problems. ... Group and offers a wide range of products and solutions, including investment strategies, banking and lending, trust and specialized services.The Private Bank… more
- Bank of America (Austin, TX)
- Credit Officer II-Global Corporate & Investment Banking San Francisco, California;New York, New York; Atlanta, Georgia; Dallas, Texas; Austin, Texas **To proceed ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/San-Francisco/Credit- Officer -II-Global-Corporate Investment -Banking\_25036924-2) **Job Description:** At Bank of… more
- Citigroup (Chicago, IL)
- The Investment Relationship Officer is a seasoned professional role. Applies in-depth disciplinary knowledge, contributing to the development of new techniques ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- Citigroup (Los Angeles, CA)
- The Investment Relationship Officer is a developing professional role. Deals with most problems independently and has some latitude to solve complex problems. ... firm's reputation and safeguarding Citigroup, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying… more
- 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 ... together to drive ambition for every future! **Purpose** The Compliance Officer will operate as a member...& Research Compliance Advisory team which provides compliance advisory coverage for the Corporate & Investment… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR-REGISTERED INVESTMENT ADVISOR* *WHAT IS THE OPPORTUNITY?* The Senior Compliance Officer will act in a compliance ... * For Wealth Management Compliance roles, experience working within a Compliance Investment Management role. *Compensation* Starting base salary: $77,000 to… more
- HUB International (New York, NY)
- …be responsible for assisting the Global/Executive Chief Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or ... advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer , will be a...of operations and advisor staff. + Participate in the investment due diligence process for SEC compliance … more
- JPMorgan Chase (New York, NY)
- …curiosity, accountability, and enterprise perspective. **Job Responsibilities:** + Serve as Chief Compliance Officer of a registered investment fund focused ... environments. **Preferred Qualifications, Capabilities and Skills:** + Experience as Chief Compliance Officer of a registered investment company. + Subject… more