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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..
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..
Electronic Trading Compliance Officer - AVP / Vice President ... for adequacy of risk and compliance controls. Will collaborate with Supervision ... developments. Develop and enhance existing compliance policies and..
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..
Chief Compliance Officer c will report to the ... will report to the Chief Compliance Officer of the Investments Group and ... all aspects of the advisers’ compliance programs. The..
Compliance Officer - Equities Sales & Trading','17007117','!*!About ... provide support to the Equities Compliance Sales and Trading Team in ... multiple internal functions within the Compliance, Legal, Audit, and other..
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..
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 ... available at http://www.jpmorganchase.com/. Our Compliance Function With a diverse team ... With a diverse team of Compliance professionals..
Senior Compliance Officer -Fixed Income','17004595','!*!About Citi Citi, the ... for a Fixed Income Senior Compliance Officer within Citi's Institutional Client Group ... Primary responsibilities include providing day-to-day Compliance advice relating..
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..
Senior Compliance Officer - ACRM - AML Transaction ... Securities Services business, this ACRM officer will support the team’s goal ... and other operational controls.This ACRM Officer will work in..