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Senior Compliance Officer - Conduct and Culture Officer ICG The candidate will build ... is part of the Enterprise Compliance Risk Management organization within the ... Management organization within the..
Private Wealth Management Compliance Officer - VP The candidate will ... build and maintain a strong compliance culture/environment. Responsibilities will include to ... include to the following: Providing compliance support..
... Alternative Investments and Advisory Programs Compliance Officer The candidate will be responsible ... responsible for building and maintaining compliance programs; managing compliance related issues; reviewing and drafting ... related..
Senior Compliance Officer - AML Compliance Risk Management - Commercial Banking The candidate will provide AML ... implementing enhancements to their AML compliance programs, including for implementation and ... Collaborate..
Asset Management Compliance Officer AVP The candidate will be ... working closely with the business, compliance professionals ensure that our risk ... Monitor trading activity to ensure compliance with Prospectus,..
Regulatory Affairs Compliance Officer The candidate will provide senior ... candidate will provide senior broker-dealer compliance coverage for the Firm’s U.S. ... Analytics businesses. Will focus on compliance best practices..
Markets Research Compliance Officer VP The candidate will be ... be responsible for implementing the compliance program for the Research businesses ... will involve all aspects of Compliance support, including..
Compliance Officer, Corporate (Asset Management) The candidate ... interaction with business management providing compliance advice. Creation and maintenance of ... Administration and implementation of a compliance training program. Maintenance and..
Regulatory Compliance Officer Duties: Reviews and drafts firm ... procedures and guidelines. Ensures firm compliance with applicable federal securities laws. ... in reviewing, drafting and updating compliance manuals on behalf..
Senior Compliance Officer - Commercial Banking The candidate will advise the ... business, specifically relating to corporate banking products. Will actively identify and ... Will actively identify and mitigate compliance..
Fixed Income Compliance Officer Duties: Serve as lead compliance advisor for U.S. Futures business. ... exchanges. Develop and maintain Future Compliance Manual and related compliance bulletins. Aid in the development..
Compliance, Merchant Banking Division, Divisional Compliance Officer, Associate Responsibilities: Articulate, develop and ... reputation. Close coordination with various Compliance functions, as well as Legal ... areas of the firm. Provide..
Compliance Officer - Controls Effectiveness Testing Duties: ... a help desk for division compliance testing activities. Maintain global Compliance Testing procedures detailing how Division ... Testing procedures detailing how Division..
Anti-Money Laundering Compliance Officer Global Markets Manage all GM ... that are referred to AML Compliance by the Client Onboarding function; ... Office, Client Onboarding, Legal, Advisory Compliance, etc.) relating..
Compliance Officer - Equities Sales & Trading ... multiple internal functions within the Compliance, Legal, Audit, and other areas ... in furtherance of the overall Compliance mission. Drive the Team’s..
... join a growing team of Compliance Officers responsible for the review ... of resources set aside for compliance and discussion of any necessary ... any necessary improvements. Determine material..
Corporate Compliance - AML Trade Surveillance - Senior Compliance Officer, Associate
Duties: Will be part of the investigations team within the trade surveillance group in bank's compliance department. The group is ..
Risk Assessment Compliance Officer VP The candidate working closely ... working closely with the business, compliance professionals ensure that our risk ... second level control function, the Compliance Department seeks..
Equity Compliance Officer: Electronic Trading # 094146 Risk ... Expertise: Trading/Derivatives CCRO Division provides compliance support to all business divisions ... and issue policies and conduct compliance training. This individual..
Equity Compliance Officer: Cash Sales and Trading # ... Expertise: Trading/Derivatives CCRO Division provides compliance support to all business divisions ... and issue policies and conduct compliance training. This role..
Corporate Compliance - Compliance Officer - Vice President/Associate','170056890','!*! JP Morgan ... is a leader in investment banking, financial services for consumers and ... consumers and small business, commercial banking, financial..
Senior Compliance Officer -Fixed Income','17004595','!*!About Citi Citi, the ... products and services, including consumer banking and credit, corporate and investment ... and credit, corporate and investment banking, securities brokerage, transaction..
Senior Compliance Officer -Fixed Income Duties: Provide guidance ... approvals and interpretation of internal compliance policies; Draft compliance policies and procedures; Assist with ... and Market Surveillance to address compliance..