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Job Description The Deputy of Compliance Technology position requires knowledge and ... commodities regulatory reporting obligations. Provide compliance guidance and input regarding business ... and tested as appropriate in compliance..
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... 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..
... for a motivated and talented compliance officer who is familiar with securities ... and back-office functions. Responsibilities: The Compliance Analyst – Special Products and ... various responsibilities, including: Providing..
... are looking for a Program Compliance Director to provide staff training ... request of the Chief Operating Officer. Conduct innovative conference presentations on ... request of the Chief Operating..
... risk and portfolio management tools, research facilities and investment products at ... seeks a motivated and talented compliance officer familiar with electronic trading processes ... will be the firm’s..
... and commodities, and experience with compliance, internal controls and risk management. ... and risk management. Responsibilities The Compliance Officer’s primary focus will be to: ... focus will be to:..
