- Equitable (Charlotte, NC)
- Chief Compliance Officer ( 250000CZ ) **Primary Location** : UNITED STATES-NC-Charlotte **Organization** : Equitable **Schedule** : Full-time **Description** At ... your potential? Reporting directly to the Equitable Financial Chief Compliance Officer , the role is responsible for...the EDL Compliance team that provides day-to-day compliance support as well as insurance licensing/ FINRA … more
- Wells Fargo (Charlotte, NC)
- **About this role:** We are seeking a highly experienced Senior Lead Compliance Officer to support the Structured Products Group (SPG) across both Capital ... applicable FINRA , SEC, FRB, and OCC rules. + Provide compliance advisory support for Asset-Backed Securities (ABS) issuance, syndication, and lending activities.… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer to join the CIB Macro Business Aligned Compliance Team. Learn more about the career ... Trading Compliance Team is a Business Aligned Compliance Officer (BACO). The BACO for this...and ability to develop and execute action plans + FINRA Series 7 or 24, or willingness to obtain… more
- Arena Investors LP (Jacksonville, FL)
- …others won't. 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 ... and regulations; . Experienced reviewing marketing materials in line with SEC and FINRA rules; . Experienced conducting annual compliance reviews; . Experienced… more
- Wells Fargo (Minneapolis, MN)
- Job Description **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** to join the **Regulatory Change & Inventory Management (RCIM)** team ... . As part of the RCIM team, the Lead Compliance Officer will lead several critical tasks...for Visa sponsorship. + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing… more
- Wells Fargo (Charlotte, NC)
- **About this role:** Wells Fargo is seeking a Lead Compliance Officer in Corporate and Investment Banking (CIB) Compliance to lead various topics across CIB ... Compliance . The Lead Compliance Officer will be responsible for managing...for Visa sponsorship. + This position is subject to FINRA Background Screening Requirements, including successful completion and clearing… more
- Scotiabank (New York, NY)
- Director, Markets Compliance Officer **Requisition ID:** 225527 **Salary Range:** 180,000.00 - 301,500.00 _Please note that the Salary Range shown is a guideline ... . **What You'll Do** + Acting as a senior compliance officer and Compliance team...evaluating and responding to requests from regulators including SEC, FINRA , NY Federal Reserve, and US Treasury Department. In… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Summary** Operating with a high level of autonomy, the Capital Markets Chief Compliance Officer will lead and oversee the design, implementation, and supervision ... of the RJF Compliance Senior Leadership Team, the Capital Markets Chief Compliance Officer will collaborate with senior business leaders to drive strategic… more
- CIBC (New York, NY)
- …CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for performing important advisory, ... Swap Dealer Compliance program. The Swap Dealer Compliance Officer is primarily responsible for 1)...Experience as a regulatory examiner with SEC, NFA or FINRA (NFA or SEC Examiner of Swap Dealers a… more
- Santander US (Quincy, MA)
- Sr. FLoD Technology/Privacy Compliance Risk Officer Country: United States of America **Your Journey Starts Here:** Santander is a global leader and innovator in ... You!** The Difference You Make: The **Sr. FLoD Technology/Privacy Compliance Risk Officer ** represents the First Line...Strong knowledge of regulatory frameworks (eg, SOX, GDPR, FFIEC, FINRA , OCC) and industry standards for data security and… more