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FX Compliance Officer, US Markets Advisory Jobs in United States
Jobs 1 to 20 of 37,932 -
First Citizens Bank • Raleigh, NC 27603Overview This position ensures the legal, operational, and risk management compliance of the Bank s broker-dealer and investment advisers. In addition, responsible for testing and oversight of retail banking activities such as AML, trade activity, code of ethics,... Read MoreOverview This position ensures the legal, operational, and risk management compliance of the Bank s broker-dealer and investment... Read More
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First Citizens Bank • Raleigh, NC 27609Overview This position is principally responsible for conducting and documenting financial crimes oversight of lines of business within the Bank as well as subsidiaries in the bank holding company structure. The person in this role will work closely with business leaders... Read MoreOverview This position is principally responsible for conducting and documenting financial crimes oversight of lines of business... Read More
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Midland States Bank • Champaign, IL 61820Job Description At Midland States Bank, base salary is one component of our Total Rewards program. Exact compensation is determined by factors such as (but not limited to)... Read MoreJob Description At Midland States Bank, base salary is one component of our Total Rewards program. Exact compensation is determined... Read More
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First Citizens Bank • Raleigh, NC 27609Overview This position is responsible for executing the Compliance Risk Management Program of the Bank. Maintains knowledge of new and existing laws that impact enterprise payment activities in order to recommend necessary changes to mitigate compliance risk. Serves as... Read MoreOverview This position is responsible for executing the Compliance Risk Management Program of the Bank. Maintains knowledge of new... Read More
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First Citizens Bank • Raleigh, NC 27603Overview Forever Strong. What sets First Citizens apart? Strong leadership, enduring values and a commitment to helping people and businesses prosper. Responsibilities for a Compliance Analyst will include managing the day to day operational activities of the... Read MoreOverview Forever Strong. What sets First Citizens apart? Strong leadership, enduring values and a commitment to helping people and... Read More
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InBank • Denver, CO 80201Job Description Job Description Description: SUMMARY The Chief Compliance Officer is responsible for overseeing operational regulatory compliance such as BSA/AML, CRA,... Read MoreJob Description Job Description Description: SUMMARY The Chief Compliance Officer is responsible for overseeing operational... Read More
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First Citizens Bank • Raleigh, NC 27609Overview This position sits as part of the Corporate Compliance group that oversees the compliance program for an SEC registered investment adviser. The position requires knowledge of the Investment Adviser Act of 1940 and SEC registered investment adviser compliance... Read MoreOverview This position sits as part of the Corporate Compliance group that oversees the compliance program for an SEC registered... Read More
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Cardea Group • New York, NY 10261General Counsel Chief Compliance Officer++ (New York, NY) Our client, a $1B+ hedge fund with a strong reputation and track record, is looking to hire their first fully... Read MoreGeneral Counsel Chief Compliance Officer++ (New York, NY) Our client, a $1B+ hedge fund with a strong reputation and track record,... Read More
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Oak Ridge Financial • Golden Valley, MN 55416About the Company Oak Ridge Financial is a well-established financial services firm offering a full complement of brokerage, financial advisory and investment banking... Read MoreAbout the Company Oak Ridge Financial is a well-established financial services firm offering a full complement of brokerage,... Read More
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Penserra Capital Management • San Francisco, CA 94199Penserra Capital Management LLC is seeking a full time Chief Compliance Officer to oversee all aspects of the firm s compliance program. Penserra Capital is an SEC... Read MorePenserra Capital Management LLC is seeking a full time Chief Compliance Officer to oversee all aspects of the firm s compliance... Read More
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Maryland Department of General Services • Baltimore, MD 21201Chief Compliance Officer (Program Manager I) Maryland Department of General Services Office of External Affairs (Baltimore, Maryland) Position is Open Until Filled Salary... Read MoreChief Compliance Officer (Program Manager I) Maryland Department of General Services Office of External Affairs (Baltimore,... Read More
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UBER Search Partners • Los Angeles, CA 90079CHIEF COMPLIANCE OFFICER Location: Los Angeles Our client, a multi-strategy asset manager in Los Angeles, is seeking a Chief Compliance Officer (CCO) to oversee and... Read MoreCHIEF COMPLIANCE OFFICER Location: Los Angeles Our client, a multi-strategy asset manager in Los Angeles, is seeking a Chief... Read More
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Xponance, Inc. • Philadelphia, PA 19019About Xponance Xponance is a distinguished, woman-led, and entirely employee-owned multi-strategy investment firm dedicated to revolutionizing access to alpha for clients... Read MoreAbout Xponance Xponance is a distinguished, woman-led, and entirely employee-owned multi-strategy investment firm dedicated to... Read More
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Larson Maddox • Chicago, IL 60290Our client, a global trading firm is looking to bring on a Deputy Chief Compliance Officer at their Chicago office You'll play a pivotal role in overseeing their global... Read MoreOur client, a global trading firm is looking to bring on a Deputy Chief Compliance Officer at their Chicago office You'll play a... Read More
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Larson Maddox • Chicago, IL 60290We are seeking a seasoned Global Compliance Officer with over 10 years of demonstrated expertise in the financial services industry, specializing in Futures Commission... Read MoreWe are seeking a seasoned Global Compliance Officer with over 10 years of demonstrated expertise in the financial services... Read More
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Hamlyn WilliamsClient: Leading Investment Management Firm (IPO) Location: New York City or Dallas - Hybrid Role / Requirements: Series 7, 24 RIA and/or broker-dealer compliance... Read MoreClient: Leading Investment Management Firm (IPO) Location: New York City or Dallas - Hybrid Role / Requirements: Series 7, 24 RIA... Read More
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Comerica • Dallas, TX 75201Deputy Chief Compliance Officer The Deputy Chief Compliance Officer role provides support to the Chief Compliance Officer (CCO) in managing the Compliance function within... Read MoreDeputy Chief Compliance Officer The Deputy Chief Compliance Officer role provides support to the Chief Compliance Officer (CCO) in... Read More
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Utah Transit Authority • Salt Lake City, UT 84101Utah Transit Authority Job Summary The position will support the UTA Coordinated Mobility Department staff in the application, award, and contracting processes for the FTA 5310 grant program and other transportation assistance programs. Establish and maintain positive... Read MoreUtah Transit Authority Job Summary The position will support the UTA Coordinated Mobility Department staff in the application,... Read More
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JW Michaels & Co.Targeting 10+yrs exp. MNPI exp, new marketing rules, fund formation, fund structuring. Has completed an SEC exam. Comfortable working on a small team and with outside... Read MoreTargeting 10+yrs exp. MNPI exp, new marketing rules, fund formation, fund structuring. Has completed an SEC exam. Comfortable... Read More
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Oliv Financial • Chicago, IL 60290In-House Counsel / Chief Compliance Officer FinTech Start-Up Founded in 2023, North Pond LLC (NP) dba Oliv Financial is a B2B2C platform and innovation engine for... Read MoreIn-House Counsel / Chief Compliance Officer FinTech Start-Up Founded in 2023, North Pond LLC (NP) dba Oliv Financial is a B2B2C... Read More
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