- SMBC (New York, NY)
- …of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... strategic planning within area of coverage. Reports to a senior member of Private Side Compliance Advisory for SMBC Nikko Securities Inc. **Role Objectives** +… more
- Insight Global (Los Angeles, CA)
- …Compliance /Operations Manager for an investment firm in Los Angelos, CA. As a Compliance Officer , you will be responsible for ensuring our firm's ... with the firms CEO / COO / General Counsel and senior management to ensure compliance on regulatory matters throughout the business development and investor… more
- Post Holdings Inc. (St. Louis, MO)
- …a deep understanding of the regulatory landscape. This role will report to the Chief Compliance Officer and will support and manage the Company's compliance ... difference. Responsibilities The Vice President of Global Ethics and Compliance plays a critical role in setting the strategy...team as well as collaborate closely with, other senior leadership, corporate business functions and business units. Key… more
- Lamar University (Beaumont, TX)
- …directly to the Vice President, Director of Athletics and serves as the chief compliance officer for the athletics department. The successful candidate will lead ... will serve as a key advisor to the athletic director, senior staff, and coaching staff on compliance matters. This position will ensure compliance operations… more
- Forward Air (Dallas, TX)
- … compliance issues and regulatory changes. + Act as a key advisor to the Chief Compliance Officer . + Build or scale a trade compliance program in line ... compliance activities and decisions. + Prepare and present compliance reports to senior management and regulatory bodies as required. + Continuously evaluate… more
- ManpowerGroup (Milwaukee, WI)
- …Global Legal Group. Reporting to the Corporate Legal Leader and Chief Compliance Officer , this role involves managing, implementing, evaluating, and improving ... ManpowerGroup seeks a motivated ethics & compliance professional for its Ethics and Compliance...conduct. o Assist in the preparation of presentations to senior management and Board of Directors. o Provide leadership… more
- Amazon (Seattle, WA)
- …teams. Apply regulatory knowledge to recommend solutions and consulting with the Compliance Officer when appropriate. * Support examination and external audit ... to present compliance controls. * Prepare reports to senior compliance stakeholders with timely and actionable information concerning the health of… more
- Commerce Bank (Kansas City, MO)
- …compliance -related rules, regulations, and guidance in an effort to assist the Banking Compliance Manager, Chief Compliance Officer , and bank staff + ... range for some roles. This compensation range is for the Banking Compliance Advisor III and Senior job and contemplates a wide range of factors that are… more
- Edward Jones (St. Louis, MO)
- …on complex fiduciary, compliance and risk management issues to the Chief Compliance Officer (CCO), governance committees, senior leaders and associates, ... Your primary responsibilities will focus on maintaining and continually evolving the compliance program for the Trust Company, which is comprised of over 4,000… more
- SouthEast Bank (Knoxville, TN)
- …Hybrid **Description** **BASIC FUNCTION:** Reporting to the Senior Vice President, Senior Compliance Officer , this position will be responsible for ... ** Compliance Analyst** **Job Details** **Job Location** 412 Office...supporting the daily implementation of the Bank's consumer regulatory compliance program. **ESSENTIAL FUNCTIONS:** + Respond to compliance… more
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