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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 ..
Marketing Compliance Manager, Assistant Vice President
The candidate will Review Request for Proposals (RFPs), Requests for Information (RFIs), and Due Diligence Questionnaires (DDQs) for non-registered institutional products. Serve as an internal ..
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 ... Manager to help oversee their Investment..
A top investment management company in Boston, MA ... MA is seeking a Senior Investment Compliance Analyst to join their team. ... role, you will support the compliance investment monitoring..
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 ..