The Chief Compliance Officer oversees the Agency's compliance with our governing bodies (OCFS, NYSED, ORR, and JC). The Chief Compliance Officer is responsible for:. The CCO is responsible for establi...

The Chief Compliance Officer oversees the Agency's compliance with our governing bodies (OCFS, NYSED, ORR, and JC). The Chief Compliance Officer is responsible for:. The CCO is responsible for establi...

Mortgage Compliance Officer will play a major role in the Compliance Management System (“CMS”) and will assist with the compliance and risk management monitoring, reporting, and remediation where appr...

The BSA Compliance Officer supports the Bank Secrecy Act training effort for the Board of Directors, appropriate management, and staff personnel; participates in briefings of management and staff on B...

The BSA and Compliance Officer will be responsible for developing, implementing, and administering the Bank’s BSA/AML program to ensure compliance with the Bank Secrecy Act, and all other Anti-M...

We are seeking a highly experienced and strategic Chief Compliance Officer (CCO) to lead and manage the compliance program for a Broker-Dealer focused on Fixed Income instruments. Minimum of 10 years ...

The Compliance Officer is the primary compliance resource and should be able to answer the bulk of the staff's compliance questions. The Compliance Officer acts as the Company's Privacy Officer. Provi...

The Compliance Officer is the primary compliance resource and should be able to answer the bulk of the staff's compliance questions. The Compliance Officer acts as the Company's Privacy Officer. Provi...

DACK Consulting Solutions, LLC is seeking a dedicated and dynamic DE&I Compliance and Outreach Officer to ensure that construction projects meet established diversity goals. This role involves managin...

Interactive Brokers | Compliance Officer – Electronic Trading.

Interactive Brokers | Compliance Officer – Electronic Trading.

DACK Consulting Solutions, LLC is seeking a dedicated and dynamic DE&I Compliance and Outreach Officer to ensure that construction projects meet established diversity goals. Experience with compliance...

We are seeking a highly experienced and strategic Chief Compliance Officer (CCO) to lead and manage the compliance program for a Broker-Dealer focused on Fixed Income instruments. Lead the compliance ...

A newly created role at full-service Broker Dealer in Emerging Markets due to team growth, this is an excellent chance to eventually succeed the Chief Compliance Officer, who plans to retire in the ne...

DACK Consulting Solutions, LLC is seeking a dedicated and dynamic DE&I Compliance and Outreach Officer to ensure that construction projects meet established diversity goals. This role involves managin...

We are seeking a highly experienced and strategic Chief Compliance Officer (CCO) to lead and manage the compliance program for a Broker-Dealer focused on Fixed Income instruments. Lead the compliance ...

A newly created role at full-service Broker Dealer in Emerging Markets due to team growth, this is an excellent chance to eventually succeed the Chief Compliance Officer, who plans to retire in the ne...

Operational Systems Compliance - Monitoring operational functioning and the portfolio process for compliance, including positions, order activity and other systematic parts of the process in keeping w...

The Compliance Officer is the primary compliance resource and should be able to answer the bulk of the staff's compliance questions. Providing compliance training to supplement computer-based training...

Seeking an experienced compliance officer to join our team as the new Director, Electronic Trading Compliance Officer. In this role, the compliance officer will be responsible for ensuring compliance ...

The Administrative Assistant for the Chief Compliance Officer will follow Together for Youth's guidelines regarding benefits, compensation and all policies and procedures as outlined in the TFY employ...

Key Responsibilities:Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. Key Internal Contacts:The employee will most lik...

It is part of the Global CMG function within the Investment & Corporate Banking Regulatory Compliance (“ICBRC”) group for CACIB worldwide.

Collaborate with business units and other risk and control departments to address compliance and conduct issues, enforce policy violations, and support management to inculcate a culture of compliance ...

The Chief Compliance Officer oversees the Agency's compliance with our governing bodies (OCFS, NYSED, ORR, and JC). The CCO is responsible for establishing standards and implementing procedures to ens...

The Chief Compliance Officer oversees the Agency's compliance with our governing bodies (OCFS, NYSED, ORR, and JC). The CCO is responsible for establishing standards and implementing procedures to ens...

As an essential member of the National Office team, the Personal Ethics and Independence Compliance Officer collaborates extensively with the UHY LLP Managing Partner and UHY LLP Management Committee ...

Operational Systems Compliance - Monitoring operational functioning and the portfolio process for compliance, including positions, order activity and other systematic parts of the process in keeping w...

This position provides technical and professional compliance expertise and advice to leadership, regional support teams, employees, committees and affiliates regarding current and emerging federal, st...

Reporting to the Head of Compliance and GFC - MENA and working closely with Compliance Officer in Morgan Stanley Saudi Arabia, the individual will assume a number of responsibilities in Compliance and...

Large broker dealer located in Midtown Manhattan or Los Angeles looking to add a “VP – Capital Markets Compliance Officer” to their team. Assist with the design and execution of regulatory compliance ...

Keep up-to-date on changes in federal and state compliance laws and regulations impacting the group of assigned compliance focus area(s). Large broker dealer located in Midtown Manhattan or Los Angele...

Effectively work with internal business unit, risk management, and legal functions, as well as the 50 South and the Alpha Strategies Fund Boards and outside counsel, to administer and maintain a compr...

Effectively work with internal business unit, risk management, and legal functions, as well as the 50 South and the Alpha Strategies Fund Boards and outside counsel, to administer and maintain a compr...

The Investigation and Compliance Unit, to which this position belongs, updates and provides guidance to agency EEO Officers on investigative and reasonable accommodation processes, develops and presen...

This is a contract opportunity.Position: Phlebotomist 8361Location: Issaquah, WASchedule: see belowProjected duration: 3 months + potential for permJob code:CVDJP00028361 benefits are available two po...

The Assistant General Counsel and Compliance Officer reports directly to the General Counsel and is a key member of the Trust’s legal and compliance department. The Assistant General Counsel and Compl...

Global Regulatory Compliance, Mutual Funds is a five-person team responsible for overseeing the compliance programs of the US domiciled registered investment companies for the Chief Compliance Officer...

The President and Chief Compliance Officer, for BDO Capital Advisors, LLC will serve dual roles in leading the organization’s investment banking subsidiary and managing its operational and compliance ...