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Corporate Compliance - Institutional Wealth Compliance Officer - Vice President Duties: ... Responsible for oversight of the Compliance Program for the broker/dealer/registered investment ... implementation and oversight of the Compliance..
Director, Compliance Consulting
The candidate will interact with senior management of investment advisory and broker-dealer clients on regulatory requirements and issues. Will build and develop client relationships while also identifying and ..
Senior Compliance Officer Responsibilities : Provide guidance ... multiple internal functions within the Compliance, Legal, Audit, and other areas ... in furtherance of the overall Compliance mission. Drive the Team’s..
... Alternative Investments and Advisory Programs Compliance Officer The candidate will be ... responsible for building and maintaining compliance programs; managing compliance related issues; reviewing and drafting ... related issues;..
Trading & Liquidity Strategies Advisory Compliance, Director Duties: Responsible for leading ... and Liquidity Strategies (TLS) Advisory Compliance efforts for the Americas with ... enhance the Americas TLS regulatory compliance..
Compliance Officer, Corporate (Asset Management) The candidate will ... interaction with business management providing compliance advice. Creation and maintenance of ... Administration and implementation of a compliance training program. Maintenance..
Corporate Compliance - Electronic Trading Compliance Advisory - Executive Director The ... front office personnel on regulatory compliance strategy for the firm's global, ... electronic trading platforms. Interact with compliance..
Corporate Compliance -Fixed Income Compliance- Securitized Products-Vice President/Executive Director The ... will provide real-time regulatory and Compliance advice to the Securitized Products ... procedures and advisory bulletins. Conduct Compliance training..
Corporate Compliance - Regulatory Exams Management - ... - Regulatory Exams Management - Compliance Manager, Vice President Responsibilities: Offers ... and Controls, Legal and LOB Compliance teams. Manages a caseload..
Electronic Trading Compliance Officer - AVP / Vice ... for adequacy of risk and compliance controls. Will collaborate with Supervision ... developments. Develop and enhance existing compliance policies and procedures..
Director of Regional Compliance Programs The candidate will develop/improve ... entities to a comprehensive master compliance calendar (including training and auditing)(in ... auditing)(in conjunction with LCO’s /regional compliance council). In..
Corporate & Investment Bank Compliance - Governance - Senior Associate/VP ... the implementation and execution of Compliance best practices under all current ... New Business Initiative Approval (NBIA) Compliance Governance...
Corporate Compliance - AML Trade Surveillance Compliance Manager - Vice President The ... editing procedures on behalf of Compliance Surveillance; Assisting with regulatory requests, ... presentation materials for use by..
Compliance Manager, Procedures and Guidance Team
The candidate reporting to the Director of PGT within the FIU, the successful candidate will be responsible for supporting the SAR filing process and other ..
Corporate - Compliance Analytics - Quantitative Research & ... of the world's most prominent corporate, institutional and government clients under ... and Analytics (QRA) team within Compliance Analytics is responsible..
Principal Corporate Compliance Tester – Commercial – Swap ... change banking for good. Principal Corporate Compliance Tester – Commercial – Swap ... great place to work. The Compliance Tester III..
Corporate Compliance - CIB Regulatory Exam Manager - Vice President
Responsibilities: Coordinate onsite examinations by regulators covering a variety of topics, businesses and functions related to J.P. Morgan’s Corporate & Investment ..
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 ..
... of the world's most prominent corporate, institutional and government clients under ... available at http://www.jpmorganchase.com/ . Our Compliance Function With a diverse team ... With a diverse team of..
Corporate Compliance - Multi-Asset Solutions , Asset ... Multi-Asset Solutions , Asset Management Compliance Director - Executive Director','170053475','!*!JP Morgan ... of the world's most prominent corporate, institutional and government clients..
Corporate Compliance - Compliance Officer - Vice President/Associate','170056890','!*! JP ... of the world's most prominent corporate, institutional and government clients under ... available at http://www.jpmorganchase.com/. Our Compliance Function With..
... Reference COR000620 Apply Business Overview: Corporate Governance is a department within ... in class” in terms of corporate governance, both to ensure sound ... expectations. The mandate of the..