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Fixed Income Compliance Officer will work as a member of the Americas Compliance team based in TP ICAP's New York offices and report into the Head of Fixed Income Compliance. TP ICAP is seeking a Fixed Income Compliance Officer to provide regulatory/compliance advice and support to the Firm's fix...
The Advisory Compliance team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwrit...
Equities Compliance Officer will work as a member of the Americas Compliance team based in TP ICAP's New York offices and report into the Head of Equity and Equity Derivatives Compliance. TP ICAP is seeking an Equities Compliance Officer to provide regulatory/compliance advice and support to the ...
The role requires leading workshops with 1st line of defense ("1LOD") and Compliance and other 2nd line of defense ("2LOD") subject matter experts to assess relevant compliance risks and controls for both the compliance risk assessment as well as the Compliance RCSA. As a Compliance Risk Assessme...
Serve as the audit liaison for Compliance cover a number of topics including but not limited to:conducting monthly Compliance/IAD touch points; participating in all Compliance related audit Reviews to ensure Compliance is meeting IAD expectations and timelines and provide consistent messaging to ...
Vice President, Tax Compliance Officer. The Company is seeking a VP - Tax Compliance Officer to join their team. The successful candidate will be responsible for tax planning and compliance, ensuring a deep understanding of income tax accounting standards for US and IFRS GAAP, and will have exten...
The Company is in search of a Chief Compliance Officer (CCO) to spearhead its global compliance program. The successful candidate will be tasked with advising senior management on a wide range of risk and compliance issues, fostering a culture of ethical and lawful behavior, and leading a team of...
Vice President, Compliance Testing Officer.Renowned commercial investment banking company with an international reach.Consulting & Professional Services.The Company is seeking a Compliance Testing Officer to join its Independent Compliance Risk Management (ICRM) testing team.The successful candid...
The Compliance and Privacy Officer, reporting to the Chief Human Resources Officer, will have primary responsibility for the compliance and privacy programs at God's Love We Deliver. The Compliance and Privacy Officer will review, revise and maintain the organization's compliance and privacy poli...
Serves as a compliance testing officer for Independent Compliance Risk Management (ICRM)'s Independent Assessment team responsible for assessing significant compliance risks and controls implemented by the first and second line of defense. Participating in the planning, executing, and reporting o...
Our fast-paced Compliance team is looking for a Compliance Monitoring Officer with experience in performing compliance and risk quality assurance monitoring procedures in the payments and/or finance industry. Compliance Monitoring Officer (Audit, QA, Risk Assessment, Testing). Collaborate with th...
Fortress seeks an experienced Compliance Officer to join the Fortress Legal and Compliance Department and will report directly to the firm’s Chief Compliance Officer. The successful candidate will work with members of the Legal and Compliance Department and other departments and businesses around...
This role will act as Homesteaders Life Company’s AML officer and the head of the SIU, as well as the Chief Privacy Officer. As Chief Compliance Officer and Assistant General Counsel you will analyze the manner in which applicable laws and regulations will be incorporated into Homesteaders Life C...
Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and delivery of a ris...
NYC Aging seeks a highly motivated Senior manager with broad-based experience in compliance, internal and external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer. Reporting to the Chief Financial Officer, with additional accountability to the Fir...
Maintain a strong control environment and culture, with a key focus on regulatory compliance & relations. * Credit Approval: Review, approve or decline or recommend to appropriate higher authority ...
This role will report directly to the Chief Financial Officer. Responsibilities * Ensure the US Group meets and maintains all tax compliance requirements across all the relevant taxes; corporation ...
Research Compliance Officer Location: New York, NY Firm Overview: Cantor Fitzgerald L.P., with over 12,000 employees, has been a leading global financial services firm at the forefront of financial ...
Compliance Officer Location : New York City (Hybrid) Overview : A boutique investment management firm is seeking a Compliance Officer to join their team in NYC. This role offers the unique ...
A global bank located in Midtown Manhattan looking to bring on board a "Director - Fixed Income Compliance Officer" to join their team. This role is currently in a hybrid schedule (2 days in office
We are seeking a highly skilled and experienced Investment Banking Compliance and Supervision Officer to join our team. This role requires 3-5 years of experience in investment banking, with a focus ...
Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. * Review and issue regulatory guidance to Bank staff on proposed ...
Collaborate with senior legal and compliance officers to update and refine internal compliance policies and procedures related to fund allocations and investment processes. * Risk Assessment
Collaborate with the Chief Compliance Officer. Qualifications * 6-12 years of relevant compliance or regulatory experience at a midsize or large financial services or investment firm. * Managerial ...
