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Corporate Ethics Officer
Citizens Financial Group - Providence, RI +2 locations
as CFGs Divisional Anti-Bribery Compliance Officer (DABCO), representsCFG at regional ... in ethics and/or traditional corporate compliance functions Familiarity with...
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Regional Supervisory Officer
PNC - Charlotte, NC +1 location
environment. The RSO will work with Compliance, The Central Review Desk and ... Brokerage industry, to include knowledge of compliance regulations, investment markets,...
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Senior Compliance Specialist
Duff & Phelps - Chicago, IL
yours and ours. Responsibilities: The Senior Compliance Specialist will assist with ... regulations; * Assist the Chief Compliance Officer (CCO) with maintaining the firms data...
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Hedge Fund Trading Compliance Officer
Hedge Fund - New York, NY
Multi-strategy hedge fund. Conduct compliance training and monitor regulatory developments affecting the firms trading operation. JD with 4+ years compliance or legal experience.
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Hedge Fund / Trading Compliance Officer
Compliance Search Group - New York, NY
work alongside the companys chief compliance officer in designing and developing effective ... compliance at an investment bank focusing on trading floor compliance matters, at an...
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Equities Trading Compliance Officer - new
Hedge Fund - New York, NY
Trading Compliance Officer within its compliance department. Responsibilities: * ... * 5 to 8 years of equities sales and trading compliance experience at a financial...
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International Trade - Compliance Counsel
Marina Sirras & Associates - New Jersey
Industrial manufacturing group, seeks a compliance counsel. Ideally, the candidate ... will report to the Group's global Compliance Officer in Europe. In addition to divisional...
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Senior Compliance Analyst I
Union Bank - Los Angeles, CA
compliance in a capital markets sales and trading environment, including supporting ... or officer with respect to their (personal) compliance obligations 5% -- Assist with...
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FSO & ITAR Trade Compliance Specialist
Woburn, MA
experience. *** Solid expertise in ITAR compliance. *** Ability to conduct research, ... regulations. *** Act as Facility Security Officer. *** Create and track metrics. ***...
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Compliance Officer (Trade Monitoring)
Newedge USA - Chicago, IL
Officer (Trade Monitoring) DEPARTMENT: Compliance JOB TITLE: Compliance Officer ... in the implementation of the current Compliance Program, incorporating the...
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