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Global Chief Compliance Officer- Broker Dealer The candidate will be point of contact for all exams/inquiries and audits. Will work on cover all entities and manage staff across business lines. Provide ..
Chief Compliance Officer The candidate will be ... will be responsible for: Lead compliance organization, providing guidance and support ... management, Board of Directors, and compliance team. For both our..
Compliance Testing (Broker-Dealer), AVP Responsibilities: Perform compliance testing and monitoring, identify issues, ... discussions. Analyze the entities’ (MSUSA/MCM) compliance status and compliance framework. Review compliance program, participate in Compliance Committee,..
... a full-time remote Quality Assurance Compliance Analyst who resides in New ... report to a Quality Assurance Compliance Manager in our Chicago Office ... candidate will have some regulatory..
... TD has enhanced its Regulatory Compliance Management Framework (RCM) and is ... comprehensive approach to managing regulatory compliance risk. TD is also in ... new business segments into its..
... looking to hire a Senior Compliance Analyst at the Chicago Office. ... Analysts will report to a Compliance Manager and will assist with ... will have 5 years regulatory..
... of Global Control Room and Compliance Surveillance The candidate will maintain ... trading groups and the institutional broker dealers. Oversight of monitoring trade ... issues to Desk Heads and..
... Information Deloitte Corporate Finance Senior Compliance Analyst in New York New ... York New York Corporate Finance Compliance Senior Analyst Deloitte Corporate Finance ... Finance LLC is seeking a..
Compliance Risk Management Intermediate Associate Analyst ... will be serving as a compliance risk analyst for Independent Compliance Risk Management (ICRM) responsible for ... delivery and maintenance of best-in-class Compliance,..
... advise existing clients on regulatory compliance matters.Conduct thorough research and analysis ... analysis of securities and derivatives compliance in various contexts, including traditional ... in various contexts, including traditional..
Associate Director of Compliance Duties: Lead or Support an ... Have deep familiarity for practical compliance and regulatory matters relating to ... / NFA and FINRA (e.g. broker-dealer) rules, and..
Chief Compliance Officer The candidate administers a ... The candidate administers a formal compliance program, including updating procedures for ... including updating procedures for enterprise compliance strategy, structure and processes,..
Senior Principal Advisor and Counsel, Market Manipulation The candidate will report to the Vice President, Strategic Operations. Assist MMG and MRTS leadership in the oversight of intra-departmental and inter-departmental initiatives, advise ..
Director AML and Financial Crime Compliance The Candidate will be responsible ... CME Group’s global financial crimes compliance program, including further development and ... in a risk-based manner in compliance..
We are looking for a Senior Marketing Manager who will develop, lead and implement the ESG Team’s Marketing Strategy at Interactive Brokers (IBKR). The ESG Team is expanding rapidly and ESG ..
Director Compliance The candidate will design and ... and implement an effective, risk-based broker-dealer testing program for Pruco, PIMS ... preventing violations of, and achieving compliance with, applicable securities laws..
Director, Compliance Consulting The candidate will be ... a team leader for our broker-dealer compliance business. Interact with senior management ... Interact with senior management of broker- dealer clients and..
... a Mid-to Senior-level Financial Services Compliance And Regulatory Associate Attorney to ... candidate will bring experience in compliance and regulatory matters, specifically with ... with registered investment advisors and..
... looking to hire a Senior Compliance Analyst at the Chicago Office. ... Analysts will report to a Compliance Manager and will assist with ... will have 2-5 years regulatory..
... and cross-border technology agreements, ensuring compliance with US securities laws, and ... US securities laws, and addressing broker-dealer regulatory issues associated with such ... cross-border technology agreements while ensuring..
Job Information ADP Broker District Manager in New York New York ADP is hiring a Sales Representative, Major Accounts. Are you ready to control your financial future with unlimited upside earnings ..
Americas Compliance And Operational Risk Control Chief ... have 10+ years of prior compliance and/or operational risk or related ... experience with a wealth management, broker dealer, retail and/or private..