- New York Genome Center (New York, NY)
- …the conditions of NYGC's building and associated infrastructure. + Develop and implement risk management programs to ensure compliance with legal and contractual ... The Chief Financial Officer (CFO) is a critical position who serves...complex regulatory requirements, including an ability to make sound risk management decisions. + Strong analytical skills,… more
- Northwest Florida Community Hospital (Chipley, FL)
- …FL, is seeking a Full Time experienced, energetic and dedicated Chief Financial Officer (CFO) to join our team! Responsible for directing the organization's overall ... or related field Experience: A minimum of three (3) years executive management and finance experience; healthcare preferred. Work record that demonstrates in-depth… more
- Trexquant Investment (Stamford, CT)
- …or CPA. + Seasoned compliance leader with at least 6 years of management -level experience at an SEC-registered investment adviser, regulator, or in-house legal ... the boundaries of quantitative finance. We are seeking a Chief Compliance Officer (CCO) to join our senior leadership team, overseeing compliance with guidance… more
- Arena Investors LP (Jacksonville, FL)
- …Arena is looking to expand the team through the addition of a senior Compliance Officer . In this role, this individual will work closely with the compliance team and ... a wide variety of regulatory compliance issues primarily in compliance with the Investment Advisers Act of 1940; . Support the CCO with FINRA broker-dealer… more
- T. Rowe Price (Baltimore, MD)
- …about contributing to the growth of our operations. Role Summary The Investment Compliance Officer identifies, interprets, and programs restrictions into the ... attorneys, client operations managers and other internal and external parties. The Investment Compliance Officer also proactively assesses the impacts of… more
- Umpqua Bank (Phoenix, AZ)
- Trust Officer Wealth Management Henderson, Nevada Scottsdale, Arizona Phoenix, Arizona **Description** **About Us:** At Umpqua, we create a great place to work ... + Good analytical abilities to recognize and solve clients' estate planning and investment issues. + Effective organizational and time management skills. +… more
- TD Bank (New York, NY)
- …you more specific details for this role. **Job Description:** The Senior Compliance Officer provides advice, guidance and support to business units in adhering to ... and assists in implementing compliance initiatives to help manage regulatory risk . Ideal candidate would have previous compliance experience, preferably in an… more
- PNC (Cleveland, OH)
- …Account Management , Asset Allocation, Capital Management , Credit Risk Analysis, Equity Valuations, Investment Banking, Sales **Competencies** Competitive ... activities to ensure they adhere to and support PNC's Enterprise Risk Management Framework. **Qualifications** Successful candidates must demonstrate appropriate… more
- Marex (New York, NY)
- …as required + To escalate risk events immediatel + To provide input to risk management processes, as required. The Company may require you to carry out other ... across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a...Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance… more
- Marex (New York, NY)
- …as require. + To escalate risk events immediately. + To provide input to risk management processes, as required. The Company may require you to carry out ... and depth of coverage across four core services: Market Making, Clearing, Hedging and Investment Solutions and Agency and Execution. It has a major franchise in many… more
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