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Distribution Strategy Compliance and Regulatory Oversight Group Manager ... also be responsible for meeting compliance requirements determined by the Americans ... and provide leadership of ADA compliance oversight and OCC..
Senior Legal Counsel - Compliance
The candidate will be responsible for advising management on fair lending, fair banking, CRA, HMDA and consumer protection considerations. Prepare presentations, attend meetings, draft procedures and ..
Compliance Associate II The candidate will ... their responsibilities relating to the compliance and risk management processes required ... business area. Work closely with compliance colleagues at both BPW and..
Swap Dealer Deputy Chief Compliance Officer, Vice President Duties: Assisting ... Assisting the Swap Dealer Chief Compliance Officer in ensuring the Swap ... are reasonably designed to ensure compliance with..
SSGA Compliance Analyst, Officer
The candidate's primary responsibilities include: Review and approve sales and advertising literature for registered products (Exchange Traded Funds and Mutual Funds); Review sales and marketing literature for ..
Compliance Manager Part of the Global ... Maintain an effective risk-based trading compliance program though monitoring and surveillance ... of surveillance reports • Provide compliance support to fixed income and..
Senior Compliance Manager - Investment Compliance Job type: Permanent Salary: $140000 ... is searching for a Senior Compliance Manager to help oversee their ... to help oversee their Investment Compliance..
... is seeking a Senior Investment Compliance Analyst to join their team. ... role, you will support the compliance investment monitoring group as well ... the review and testing of..
The Assistant Vice Provost for Research Accounting and Financial Compliance (AVP-RAFC) will work under the direction of the Associate Vice Provost for Research and Director of ORSP and will plan, schedule ..
Compliance Specialist Sub Sector: Traditional Asset ... Traditional Asset Manager Risk Type: Regulatory/Compliance Expertise: Regulatory/Compliance Description The Compliance Specialist will support the broker-dealer's ... to the Licensing & Registration Compliance..
Compliance Specialist - GWIM in Boston ... Boston Massachusetts Job Description: The Compliance Specialist, assists the Compliance officer team in activities to ... to contribute to the independent compliance oversight..
Compliance Specialist - GWIM Sector: Asset ... Traditional Asset Manager Risk Type: Regulatory/Compliance Expertise: Regulatory/Compliance Job Description: The Compliance Specialist, assists the Compliance officer team in activities to ... to..
... Markets Risk Type: Operational Expertise: Regulatory/Compliance Description TheRisk Specialist position is ... - 3 years of audit, compliance, or risk experience Strong knowledge ... experience Strong knowledge of regulatory..
WFII Chief Compliance Officer Duties: Lead a team ... Duties: Lead a team of compliance professionals responsible for managing all ... for managing all aspects of Compliance Program. Reports directly..