Compliance Officer job at Citigroup Inc. in Baltimore, MD

• Compliance Officer

  Citigroup Inc. - Baltimore, MD

  Conduct surveillance/oversight of client account activity for the Western Division, Smith Barney's third largest Division by revenues. Replacement analyst will also ensure adequate coverage of increased volumes in the Division as a result of CIS integration. Ensure that branch management is identifying and addressing potential issues, including unsuitable trading any other sales practice improprieties. Identify violations of Firm policies and regulatory rules and other potential exposure to the Firm. Surveillance Activity: Review 15 Retail Surveillance Reports/Alerts including Portfolio Suitability, Turnover, Cost to Equity, Loss in Equity, High Loss in Equity, Security Concentration Report, Trade Corrections, Late Allocation Phone Order Report, FA Better Price Report, Day Trading Report,...

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Compliance Officer jobs in Baltimore, MD

• Accountant/Internal Controls Specialist

  National Security Agency - Fort George G Meade, MD

  School. - Serving as contracting officer representative for contractors that are engaged to support NSA's audit compliance efforts. Qualifications - Candidates must have at least...

  16 days ago from National Security Agency - Save - More Tools...
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• INFORMATION SYSTEMS SECURITY OFFICER

  Parsons - Annapolis Junction, MD

  services to the project to ensure compliance with regulatory and ... or weaknesses * Perform IS Security Officer duties for local program ...

  21 days ago from Parsons - Save - More Tools...
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• Contractor Special Security Officer (CSSO) /Facility Security Officer (FSO)

  Parsons - Annapolis Junction, MD

  Security Officer (CSSO) /Facility Security Officer (FSO) Parsons provides landmark ... Promulgates requirements and ensures compliance with government regulations...

  24 days ago from Parsons - Save - More Tools...
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• Coordinator, Corporate Responsibility

  St. Joseph Medical Center - Towson, MD

  * Draft and initiate compliance program correspondence ... compliance publications. * Maintain compliance section of SJMCis web site. *...

  18 days ago from Jobs at Development Crossing - Save - More Tools...
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