- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR - REGISTERED INVESTMENT ADVISOR* WHAT IS THE OPPORTUNITY? The Senior Compliance Officer will act in a compliance ... equivalent * Minimum 7 years of compliance , regulatory compliance with respect to registered investment adviser products and services. * Minimum 5 years of… more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS ... Compliance and covers the TDS US businesses. This Senior Compliance Officer will also...issuance. + Assist with Risk Assessment process for each registered and non- registered location in accordance with… more
- City National Bank (New York, NY)
- * COMPLIANCE OFFICER SENIOR * WHAT IS THE OPPORTUNITY? The Senior Consumer Compliance Officer is responsible for managing and maintaining assigned ... roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser. * For Wealth Management Compliance roles, experience… more
- TD Bank (New York, NY)
- …along with the ability to handle multiple assignments at the same time. The Senior Compliance Office provides advice, guidance and support to business units in ... work and statuses to a variety of audiences (including senior management), coordination with other Compliance workstreams...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- Prime Healthcare (Riverdale, GA)
- …#LI-DF2 Connect With Us! (https://careers-primehealthcare.icims.com/jobs/195243/risk-and- compliance - officer - registered ... Human Resources. Know Your Rights: https://www.eeoc.gov/sites/default/files/2022-10/EEOC\_KnowYourRights\_screen\_reader\_10\_20.pdf Responsibilities Risk and Compliance Officer : Responsible for designing, organizing, coordinating… more
- City National Bank (Nashville, TN)
- *RESIDENTIAL LOAN OFFICER ASSOCIATE SENIOR * WHAT IS THE OPPORTUNITY? Provide support to multiple Residential Loan Officers to facilitate the timely review and ... required to process loan requests or modification requests. Support the Loan Officer in loan preparation and coordination with the operation teams to obtain/transmit… more
- Charles Schwab (Wilmington, DE)
- …and key investment advisor relationships utilizing the Personal Trust Services Division. The Senior Trust Officer assures compliance with all Bank policies ... us "challenge the status quo" and transform the finance industry together. The Senior Trust Officer is responsible for developing and maintaining relationships… more
- City National Bank (Los Angeles, CA)
- …for new or revised laws and regulations. * Assist the Compliance Manager, Senior Compliance Officer , and Risk Assessment team with the evaluation of ... line of business to remediation plans. * Works with Senior Compliance Officer , Compliance...with a financial institution such as a broker/dealer and/or registered investment adviser. * For Wealth Management Compliance… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...be permitted for certain roles, including, for example, certain FINRA- registered roles for which in-office attendance for the entire… more
- Trexquant Investment (Stamford, CT)
- …pushes the boundaries of quantitative finance. We are seeking a Chief Compliance Officer (CCO) to join our senior leadership team, overseeing compliance ... where technology, finance, and regulatory oversight converge. Responsibilities + Lead compliance oversight for our SEC- registered investment adviser for private… more