- AIG (Parsippany, NJ)
- Senior Compliance Officer , Investments Compliance Location: Parsippany, NJ or New York, NY At AIG, we are reimagining the way we help customers to ... manage risk. Join us as a Senior Compliance Officer , ...General Account and reinsurance mandates. + Interact/partner with CIO, investment managers, and Legal to ensure compliance … more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal...compliance risk, and is represented by the Chief Compliance Officer as either a member or… more
- Truist (Charlotte, NC)
- …review the following job description:** Responsible for conducting and directing compliance risk oversight of assigned business units and/or functions. Leads and ... executes compliance risk management activities to reasonably ensure ...Program obligations of GFOAS, which is an SEC Registered Investment Advisor ("RIA") to a private fund complex.** **GFOAS… more
- Morgan Stanley (Baltimore, MD)
- … Group within the Legal and Compliance Division (LCD) is seeking a senior Compliance Officer responsible for providing advice and guidance to business ... **Job:** ** Compliance * **Title:** *Wealth Management Digital Direct Compliance Officer * **Location:** *Maryland-Baltimore* **Requisition ID:** *3248035*… more
- TIAA (Frisco, TX)
- **Technology Risk Officer ** The Technology Risk Officer oversees advanced technology platforms that perform data quality checks and analysis for reporting to ... this job maintains advanced product knowledge across the organization's assets and investment portfolios to best update and utilize available technology tools to… more
- Honeywell (Herndon, VA)
- …of a start-up backed with the power and investment of Honeywell. As a Senior Contractor Program Security Officer (CPSO) - Compliance , you will develop ... and administer security programs and procedures for classified, or sensitive materials, documents, and equipment. You will investigate security violations and prepare reports. You will identify opportunities to improve security operations efficiency. You will… more
- T. Rowe Price (Baltimore, MD)
- …to join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses. This role will be ... business on compliance and regulatory matters. + Support the Chief Compliance Officer in liaising with regulatory authorities, responding to inquiries, and… more
- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and… more
- Principal Financial Group (Des Moines, IA)
- …are out of the office. + Perform ad hoc research at the direction of the Chief Compliance Officer or senior Compliance team members. + Assist with ... **What You'll Do** As a Senior Compliance Analyst you will be...tests at the direction of Principal Advised Services' Chief Compliance Officer and assist with 206(4)-7 annual… more
- City of New York (New York, NY)
- …steward of the resources of plan beneficiaries and the City of New York. The Senior Investment Officer will assist in overseeing the investment ... for the five New York City pension systems. The Senior Investment Officer will report...Trustees; - Monitoring the portfolio of existing fund and co- investments to ensure compliance with the terms… more
- USAA (Plano, TX)
- …selection, investment governance, and investment operations. Provides investment insight and advice to senior leaders to influence line-of-business ... evaluating, selecting, onboarding and use of software and quantitative tools used in investment management to drive governance, compliance , risk management, and … more
- New York State Civil Service (New York, NY)
- …real-time risk information need by the CIO and senior management;* The Chief Investment Risk Officer will manage a staff of risk analysts and also serve ... in annual earned premium and over $20 billion in assets.Under the direction of the Chief Investment Officer (CIO) the Chief Investment Risk Officer will… more
- Manulife (Boston, MA)
- … issues and/or reporting requests + Assist in the training and mentoring of less senior Investment Compliance Analysts + Handle compliance department ... today. **Working Arrangement** Hybrid **Job Description** The core job responsibility for a Senior Compliance Analyst (non-exempt) is to monitor the John Hancock… more
- Morgan Stanley (Menlo Park, CA)
- *POSITION SUMMARY:* The Director of Investments is a senior level position on a Financial Advisor / Private Wealth Advisor team. This industry professional plays ... a critical role in helping clients achieve their investment goals by developing, maintaining, and overseeing the strategic...client assets managed by the team. The Director of Investments is responsible for the development of asset allocation… more
- CIBC (New Brunswick, NJ)
- …please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) **What** **You'll** **Be Doing** As the Senior Trust Officer , you will be responsible for the ... milestones and deliverables. Partner effectively with internal experts from the Investment Management and Tax Department, to provide oversight and guidance on… more
- Bank of America (Cleveland, OH)
- …to make a difference. Join us! **Job Summary:** The Senior Trust Officer maintains a book of fiduciary and investment management accounts. Primary ... Senior Trust Officer Cincinnati, Ohio;Cleveland, Ohio...administrative and business development of the most complex IM&T ( Investment Management and Trust) accounts. Works with the Market… more
- Bank of America (Atlanta, GA)
- Senior Trust Officer Atlanta, Georgia **Job Description:** At Bank of America, we are guided by a common purpose to help make financial lives better through the ... and retention, assisting clients with wealth planning needs, and managing risk. This Senior Trust Officer (STO) position focuses on serving clients of Merrill… more
- Bankers Trust (Des Moines, IA)
- Senior Trust Officer Location Des Moines, IA # of openings 1 Apply Now ... by readers of the Business Record. Job Summary: The Senior Fiduciary Trust Officer is responsible for...with Private Client Team. . Administer assigned accounts in compliance with applicable laws, regulations, and Bank policies, including… more
- Bank of America (Chicago, IL)
- Senior Information Security Officer Denver, Colorado;Chicago, Illinois **Job Description:** The Senior Information Security Officer will be a member of ... the Business Information Security Officer 's (BISO) organization and work closely with the line...The requirements and certification for Payment Card Industry (PCI) Compliance + Cryptography and key management across high volume… more
- Guardian Life (New York, NY)
- The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as ... and other regulations, and ensure our organization remains in compliance . The Chief Compliance Officer ...must have a broad knowledge of US broker-dealer and investment advisory compliance , regulated business environments and… more