- Scotiabank (Dallas, TX)
- Compliance Testing Senior Manager, Swap Dealer...an inclusive work environment. + Work with Swap Dealer Compliance Advisory Team to perform Swap Dealer ... least 3 of which should involve testing or audit. + Experience/background in compliance applicable to institutional trading & sales, investment banking, futures… more
- Citigroup (Houston, TX)
- This senior level position responsible for performing geotechnical analysis and preparing geologic materials used for strategic advisory services for mergers, ... presented to clients and counterparties as part of Citi's strategic advisory services for energy clients. **Responsibilities:** + Responsible for technical… more
- Friedman Management Company (Chicago, IL)
- Commercial Real Estate Broker - Investment Sales Job Details Level Experienced Job Location Chicago Metropolitan Area - Chicago, IL Job Category Sales With a stellar ... mobile full-service platform in the Chicago area markets. We are seeking commercial investment sale brokers who are looking to provide their clients with tools,… more
- TD Bank (Greenville, SC)
- …of TD Bank, NA encompassing banking, custom credit, asset management, securities, investment advisory and insurance) through multiple legal entities (TD Bank ... regulatory compliance risk and conduct risk;** **Job Summary:** The Senior Compliance Business Oversight Analyst provides objective guidance, support and… more
- Wellington (Boston, MA)
- **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our ... investment solutions, tailored to the unique return and risk...clients. **About the Role** We are currently seeking a compliance professional primarily to manage the firm's financial crime-related… more
- KeyBank (Brooklyn, OH)
- **Location:** 4900 Tiedeman Road, Brooklyn Ohio **The** **Regulatory Technology Senior Compliance Manager** **is a critical member of the KIS Compliance ... eCommunications monitoring systems** **Solid knowledge of the securities, insurance and investment advisory industries, including SEC, FINRA and state insurance… more
- CBRE (Dallas, TX)
- …America, Dallas - Texas - United States of America **About the Role:** As Senior Compliance Manager, you will focus on designing, delivering, and overseeing our ... Compliance , Senior Manager (Training & Project...the global leader in commercial real estate services and investment that helps businesses and people thrive. We are… more
- Wells Fargo (New York, NY)
- …TRACE, and other applicable FINRA, SEC, FRB, and OCC rules. + Provide compliance advisory support for Asset-Backed Securities (ABS) issuance, syndication, and ... **About this role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG) across both Capital… more
- Vanguard (Malvern, PA)
- …investors, to treat them fairly, and to give them the best chance for investment success. Known for our strong ethical business practices and client focus, Vanguard ... In support of our innovative and highly regulated business lines, Vanguard's Compliance Department encounters a wide range of complex and compelling issues while… more
- Guardian Life (Nashville, TN)
- …Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory , you will conduct branch office inspections using risk-based ... laws (inclusive of NAIC). + 3-5 years of broker-dealer and registered investment advisor compliance experience, with experience at an insurance-affiliated… more