- T. Rowe Price (Baltimore, MD)
- …professional to join our North America Compliance team as a Senior Compliance Officer supporting our investment advisory businesses, specifically ... compliance and regulatory matters. + Support the Chief Compliance Officer in liaising with regulatory authorities,... compliance . + Investment Company Act of 1940 compliance experience including ETFs . + ETF product… more
- Neuberger Berman (New York, NY)
- …experience in role of senior lawyer with compliance responsibilities, or senior compliance officer (or CCO) for registered funds + Strong knowledge ... Chief Compliance Officer for over $55 billion...of direct reports + Ability to work closely with senior business and management in fast-paced, results oriented environment… more
- Scotiabank (New York, NY)
- Senior Audit Manager, Compliance Audit (Non-AML) **Requisition ID:** 209949 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is ... drive ambition for every future! **Purpose** Seeking a detail-oriented Senior Audit Manager who is seasoned Compliance ...and procedures. **What You'll Do** + Acts primarily as Officer in Charge (OIC) and leads the planning, execution… more
- Citigroup (DE)
- …internal and external investment managers including equities, fixed income, mutual funds, ETFs , private equities, hedge funds and real estate vehicles to ensure the ... and their advisors in achieving specific trust and estate objectives. + Compliance with legal requirements and internal procedures in relation to account activity:… more
- Federal Reserve Bank (Cleveland, OH)
- …well as, release them of assignments that do not require an armed officer . **General Responsibilities:** + Receives and processes request for service via telephone ... items consistent with System Record Retention Manual. Assists LEU compliance section with all records required by Audit +...prior years of related work experience + **LEU Technician Senior ** : High School Diploma/GED and 5 years of… more