Our client is seeking a Compliance, Swap Dealer to join their team. The ideal candidate will have effective... organization. Job Title: Compliance, Swap Dealer Location: New York, New York Pay Range: $80.00/hour - $85.00/hour...
Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM)’s Surveillance team responsible... projects and regulatory exams directed by other organizations within the compliance or legal departments...
of benefits to its employees. Role Description This role will manage and oversee all Compliance-related issues (i.e., Internal... Audit, Compliance, self-identified and Regulatory), as well as oversee the execution of the Americas Division's (“AD...
Serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM)’s Compliance Independent... Assessment (CIA) Team responsible for assessing compliance with Volcker rule, Swap dealer requirements and significant compliance...
Job Summary Job Description What is the Opportunity? Execution of Compliance Quality Assurance activities... in accordance with the 2LOD Compliance Quality Assurance Program. The Quality Assurance team is responsible for monitoring...
The Compliance Anti-Money Laundering (AML) Risk Management Director for US Retail Brokerage/Broker-Dealer and Consumer... management policy and strategic AML Compliance Risk Management direction as well as maintain the AML compliance program for the...
of benefits to its employees. Role Description Reporting to the Director of Compliance Program Management, the Compliance... Compliance (“FCC”), including BSA/AML/OFAC/Anti-Fraud/Anti-Bribery and Corruption (“ABC”) Risk Assessment Program, focusing...
Compliance Associate, Policies and Education, will play a critical role in designing a best in class compliance training program.... In addition, the individual will work closely with business counterparts to develop or update relevant compliance policies...
The SDLC Development, Process and Compliance Manager is a strategic professional who stays abreast of developments... practitioner productivity. Support Regulatory programs and projects such as Data Governance, Compliance Management and Change...
of benefits to its employees. Role Description The SMBC Compliance Department monitors the corporate banking, investment... banking and broker dealer activities of SMBC Group and reports on the compliance risks and issues to SMBC and the Global...
of benefits to its employees. Role Description SMBC's Compliance Department Americas Division ("CPAD") is seeking an Analyst... for Compliance Monitoring and Testing. The Analyst is responsible for supporting the monitoring and testing program. This position...
Compliance Associate, Policies and Education, will play a critical role in designing a best in class compliance training program.... In addition, the individual will work closely with business counterparts to develop or update relevant compliance policies...
of benefits to its employees. Role Description SMBC's Compliance Department Americas Division is seeking a Vice President... of the Compliance Monitoring and Testing team to perform testing of its broker/dealer (SMBC Nikko Securities America, INC...
of benefits to its employees. Role Description SMBC's Compliance Department Americas Division ("CPAD") is seeking a Vice... President of BSA/AML Compliance Monitoring and Testing. The Vice President will principally lead a team within the AML M&T group...
Job Role: Regulatory Compliance Analyst Duration: 5 Months Contract with possible extension Location : Jersey City... Follows Hybrid schedule. Pay Rate : $59/hr Responsibilities: Develop compliance testing programs for specific business...
Job Description: As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase... Management and Compliance is all about thinking outside the box, challenging the status quo and striving to be best-in-class...
find out more about eToro . Come join our Award Winning Compliance team! The Compliance team are key members of eToro USA...’s team. The Compliance Department provides service, support, and advice to promote the Firm’s growth and development...
Serves as a senior CitiDirect & CitiConnect product compliance risk officer for Independent Compliance Risk Management... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day...
Job Role: Regulatory Compliance Analyst Duration: 5 Months Contract with possible extension Location : Jersey City... Follows Hybrid schedule. Pay Rate : $59/hr Responsibilities: Develop compliance testing programs for specific business...
Compliance Testing Examiner Location: Jersey City, NJ/ Hybrid Duration: 6 months Description: Business Overview...: Demonstrate the firm’s commitment to compliance by maintaining a compliance testing review program that evaluates the firm...