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... nResponsibilitiesnThis role is a Senior Compliance Officer for CIT Capital Securities LLC, ... is responsible for managing the compliance programs for the BD (Broker ... of the BD and..
The Chief Compliance Officer will insure that the company ... aspects of FINRA and SEC compliance as it relates to Research, ... that the Firm remains in compliance. -Oversee all..
... Fund in need of a Chief Compliance Officer to advise on SEC, FHA/HUD, ... real estate) or in-house (in compliance, real estate or hedge fund). ... categories: Real Estate,..
VP, Core Compliance COO Programs # 100652 Sector: ... Management Risk Type: Credit Expertise: Regulatory/Compliance As part of the CCS ... Group IT department for Core Compliance Services (CCS) Ensuring..
Managing Director, Chief Compliance Officer – Regulatory Control Matrix and ... Sector: Asset Management Risk Type: Regulatory/Compliance Expertise: Regulatory/Compliance Primary Location: United States,New York,New ... Education: Bachelor's Degree Job Function:..
Vice President-Compliance Officer-AML Monitoring Cards Sector: Asset Management ... Sector: Asset Management Risk Type: Regulatory/Compliance Expertise: Regulatory/Compliance Primary Location: United States,New York,Long ... Education: Bachelor's Degree Job Function: Compliance and..
nResponsibilitiesnAdministration of the BD and RIA Compliance Program.nDrafting, revising, and implementing all WSP's (Written Supervisory Procedure), compliance manuals, policies and procedures.nMaintaining registration requirements for all registered representatives of the broker-dealer.nMonitoring the ..
... direct and administer the Bank’s compliance program to assure compliance with a broad range of ... and regulations pertaining to banking compliance. To assist in compliance with other bank..
Exciting multi-strategy NYC funds company seeks a CCO! Required: 10+ years of funds, investment advisory and broker dealer compliance experience. Attractions:..