- US Bank (New York, NY)
- …at-all from Day One. **Job Description** This position within RSS will serve as the Chief Compliance Officer (CCO) for one of our multiple series trusts ... - Ten or more years of experience in a compliance or financial industry related role, preferably in a...a CCO role or securities related -Prior experience with compliance or operational aspects of ETFs - Strong knowledge… more
- JPMorgan Chase (New York, NY)
- …accountability, and enterprise perspective. **Job Responsibilities:** + Serve as Chief Compliance Officer of a registered investment fund focused on ... **Preferred Qualifications, Capabilities and Skills:** + Experience as Chief Compliance Officer of a registered investment company. + Subject matter… more
- Equitable (New York, NY)
- Deputy Chief Investment Officer - General Account ( 250000IH ) **Primary Location** : UNITED STATES-NY-New York **Organization** : Equitable **Schedule** : ... Office is expanding its leadership team and searching for a Deputy Chief Investment Officer -a single, integrated leadership role encompassing strategic… more
- HUB International (New York, NY)
- …for assisting the Global/Executive Chief Compliance and Risk Officer in implementing, updating, and maintaining SEC investment advisor and/or FINRA ... advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief Compliance and Risk Officer ,...of operations and advisor staff. + Participate in the investment due diligence process for SEC compliance … more
- City National Bank (New York, NY)
- * CHIEF FIDUCIARY OFFICER WM* *WHAT IS THE OPPORTUNITY?* The Chief Fiduciary Officer provides strategic direction and oversight for the bank's trust and ... requires a deep understanding of fiduciary law, risk management, regulatory compliance , and investment oversight. *WHAT WILL YOU DO?* * Regulatory compliance… more
- New York Genome Center (New York, NY)
- The Chief Financial Officer (CFO) is a critical position who serves as the New York Genome Center's financial leader, responsible for the organization's overall ... and facilities. Reporting directly to the Scientific Director and Chief Executive Officer (CEO), the CFO is...the assigned areas of responsibility. Hold responsibility for performing investment , debt, and treasury activities. + Lead a team… more
- Ford Motor Company (Albany, NY)
- …necessary controls to enable the business to scale . Ensure regulatory compliance and the underwriting function adapts to any regulatory change, strategic decisions, ... Audit Process:** . Manage overall underwriting audit framework in collaboration with compliance . Lead and manage the quality/content of Underwriting audit findings… more
- Raymond James Financial, Inc. (New York, NY)
- …essential risk context. . Reports risk-related data including risk exposure, compliance to risk policies, and effectiveness of current risk management strategies ... standard risk management practices . Broker-dealer supervisory frameworks, retail investment platforms, and UHNW product risks including structured products,… more
- TD Bank (New York, NY)
- …**Job Description:** The TD Securities Compliance team is seeking a Senior Compliance Officer to join the Surveillance Data Quality Team. The team supports ... framework. Specifically, the Data Quality Team works with TDS Chief Data Officer (CDO), Data and Delivery...Officer (CDO), Data and Delivery Initiatives (DDI) team, Compliance Technology, First-Line Risk and Control, and Front Office… more
- TD Bank (New York, NY)
- …guidance and analysis on regulatory/ compliance /technology issues. Position will support the Chief Compliance Officer (CCO) in ensuring the Bank's ... who can provide you more specific details for this role. **Job Description:** The Compliance Officer within Regulatory Relations Core Compliance assists in… more