- TD Bank (New York, NY)
- …at peer firm or regulator is preferred + Relevant professional designations such as FINRA Certified Compliance Officer Program + Basic knowledge of Equities, ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $180,000 USD TD is...for this role. **Job Description:** The TD Securities US Compliance team is looking for Vice President to join… more
- Insight Global (Dallas, TX)
- …Insight Global is seeking to hire an experienced and detail-oriented Deputy Chief Compliance Officer for a global investment firm focused in the fintech ... space. The Deputy CCO is to support the Chief Compliance & Legal Officer in overseeing and...FINRA systems (eg, CRD, Firm Gateway). *Familiarity with compliance technology platforms such as Global Relay and … more
- MUFG (Irving, TX)
- …testing reviews on the Sales & Trading business units with focus on the Markets Compliance program. The Compliance Officer will work closely with ACT ... member of our recruitment team will provide more details. **Job Summary:** Americas Compliance Testing (ACT) is an integral part of the MUFG Regulatory Compliance… more
- Equitable (Charlotte, NC)
- Equitable Advisors Deputy Chief Compliance Officer ( 250000L7 ) **Primary Location** : UNITED STATES-NC-Charlotte **Other Locations** : UNITED STATES-NY-New York ... Equitable is currently looking to hire a Deputy Chief Compliance Officer (DCCO) for Equitable Advisors within...the development and oversight of Equitable Advisors' SEC and FINRA a compliance programs related to its… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** in Corporate Risk as part **Trade Surveillance Oversight** Team. This role will be ... line oversight + Develop, oversee, and provide expert business and regulatory compliance functional knowledge. + Develop and present Oversight program materials to… more
- HUB International (New York, NY)
- …Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Chief Compliance Officer , will be a ... and enhancing the SEC compliance infrastructure. **Job Summary:** The **Chief Compliance Officer ** **for Retirement and Private Wealth** will be responsible… more
- SMBC (New York, NY)
- …findings or recommendations; + M&T findings or recommendations; and/or + Observations by Compliance officer or business staff member + Coordinate with relevant ... the Regulatory Governance team is responsible for production of Annual Compliance Reports and related senior officer certifications. **Responsibilities:** +… more
- Zions Bancorporation (Salt Lake City, UT)
- …the talent; we bring the opportunity. **We are currently seeking a** **Risk and Compliance Testing Officer ** **within the Market, Liquidity, Wealth Risk & ... Team.** **Description** A Market, Liquidity, and Wealth Risk & Compliance (MLW) Testing Officer works closely with...management oversight. + **Willing to sit for and pass FINRA Series licenses such as 7, 24, 52, 53,… more
- MUFG (Irving, TX)
- …details. **Summary:** As part of the International Compliance Training Team, the Compliance Training Program Officer (FCTPO) for the Americas will be charged ... the region and will report directly into a Global Financial Crimes Training Program Officer (GFCTPO) and the Global Core Compliance Training Program Officer … more
- Bloomberg (New York, NY)
- Compliance - US Bank Secrecy Act (BSA) Officer - New York Location New York Business Area Legal, Compliance , and Risk Ref # 10047869 **Description & ... compliance programs for the Americas. The BSA AML Officer will be responsible for ensuring compliance ...(experience with AML /BSA programs in US broker-dealers) * FINRA Series 7 and 24 registrations * Strong presentation… more