Our firm, a leading Financial Services Clearing Organization, is seeking an experienced Compliance professional... to join our growing team. This role requires a deep understanding of regulatory compliance within equity and options trading, as well...
will report to the Chief Compliance Officer of the Northern / Northern Institutional Funds (together, the “Funds”), which consist..., and their compliance policies and procedures. Assist with quarterly board reporting and the annual 38a-1 reports. Support the CCO...
, and are able to adapt to a changing regulatory landscape. Swap Dealer Compliance seeks a Compliance Officer to advise internal... among other areas Serve as an escalation point and assist in remediating non-compliance issues Assist in drafting CCO annual reports...
in a timely fashion. Minimum 5 years of experience working in a senior compliance role (CCO, Director or similar) within a Self...cx Self-Clearing Broker Dealer seeks experienced Chief Compliance Officer with a minimum of 5 years of experience...
to senior management; Collaborating with the CCO to develop and execute the Annual Compliance Plan; Executing Regulatory... in various PWG governance committees and will be based in New York City and report to CIBC’s US PWG Chief Compliance Officer...
will report to the Global Head of Compliance (“Global CCO”) and work closely with the offshore level 1 and onshore level 2... and performance indicators to senior management, committees and Boards. Update and ensure adherence to compliance training program...
, and become more data-driven, compliance-attentive, climate-adaptive, and mission-focused. To do so, OPS collaborates with staff and senior... of rigorous data, policy, and financial/credit analysis; technical and statistical research; compliance awareness and adherence...
in program visioning and design to all of HPD's areas of practice. The Senior Director will report to the Chief Credit Officer... and its many offices in their efforts to deepen their impact, optimize their efficiency, and become more data-driven, compliance...
(Executive Management Incentive Plan), the KOIP (Key Officer Incentive Plan), and oversight of the remaining 60+ business aligned... and HR teams at the center in Toronto to remediate regulatory compensation compliance for the US region. Finally – this role...