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SVP, Legal The Candidate will be responsible to provides timely, strategic and practical legal advice and support to senior business leadership regarding business practices, corporate strategies, policy interpretation, compliance, contractual disputes, ..
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Chief Compliance Officer The candidate will develop and ... conduct. Maintain high-level oversight of compliance and risk management and organization ... enterprise risk awareness strategies. Ensuring compliance efforts are documented,..
Chief Compliance Officer - Investment Management The candidate ... management as well as ensuring compliance with the evolving regulations. Firm ... procedures and SEC filings. Provide compliance support to fixed..
... for a motivated and talented compliance officer who is familiar with securities ... regulations is preferred. Responsibilities: The Compliance Officer – Advisor Regulation will be ... be responsible for:..
... for a motivated and talented compliance officer who is familiar with securities ... back office functions. Responsibilities: The Compliance Officer – Special Products and Back ... stock lending and..