Hamdan Exchange Llc Salary for Senior Compliance Officer BETA

As one of the world's leading asset managers, Invesco is dedicated to helping investors worldwide achieve their financial objectives. By delivering the combined power of our distinctive investment management capabilities, we provide a wide range of investment strategies and vehicles to our clients around the world. If you're looking for challenging work, smart colleagues, and a global employer with a social conscience, come explore your potential at Invesco. Make a difference every day! Job Description The Team The Office of the CCO is an Advisory Compliance function that supports the Americas region with compliance strategic initiatives, sub-advised client oversight, and product risk. Our objective is to provide strategic advice, implement and synergize controls across the region and perform compliance oversight to protect Invesco from regulatory, reputational, and financial risk. Your Role The Senior Compliance Officer position assists Invesco's Americas business operations with resp

A reputable and growing trading firm in Chicago is looking to bring on a Senior Compliance Officer to its expanding compliance team. The ideal candidate will be someone who has worked extensively throughout the proprietary trading sector with securities and options and can jump into a variety of activities across the team to support the compliance program. Opportunities for advancement, a positive team culture, and collaboration with senior leadership will be core aspects of this position. The role will sit in downtown and be set in a hybrid structure. Responsibilities: Conduct trade surveillance reviews and ensure compliance with regulatory requirements Oversee the FINRA CRD, BD licenses, U-4 and U-5 registrations, and exchange memberships Partner with trading and technology teams consistently to stay in collaboration on reporting system Maintain and develop new Written Supervisory Procedures Stay current as a subject matter expert on trading regulatory requirements and best practices

Are you a Compliance Officer with a passion for ensuring adherence to regulations and fostering a culture of integrity? We're seeking for a Senior Compliance Officer to join our Compliance department in our New York Branch. About the role: You will be a part of a team that is responsible for the development, coordination, and maintenance of SEB'S compliance programs that ensure its compliance with applicable laws, rules and regulations. Additionally, the Senior Compliance Officer will assist with the development and maintenance of our comprehensive compliance training program for the SEB and SEB Securities, Inc. staff. As a Senior Compliance Officer, you will be responsible for: * The development and periodically review and maintenance of compliance policies and procedures to ensure compliance with applicable federal and state banking and securities laws as well as applicable SEB Group Compliance requirements. * Work closely with the Front and Middle office to make all activity is comp

Job Summary Ensure that an organization's operations and procedures meet government and industry compliance standards. Applies experience and seasoned knowledge, skills, and practices to perform a variety of assignments. Job Description What is the opportunity? The Sr. Compliance Officer is a key member of the Compliance team and supports the goals of the Compliance Department and RBC Bank. This Compliance Officer works with management to ensure the institution's regulatory compliance with federal, state, and local banking laws. They also assist all functional departments in achieving strategic goals by conducting oversight monitoring and testing of regulatory requirements. What will you do? * Assist with the execution of the compliance monitoring program - includes reviewing regulatory-required disclosures and documents, policies, procedures, and training material; conducting interviews with personnel as needed, and evaluating first line controls. * Accurately assesses the state of co

Summary Become part of the team that safeguards the financial system from the abuses of financial crime. At the Financial Crimes Enforcement Network (FinCEN), we are at the forefront in preventing and detecting terrorist financing, money laundering, and other financial crime. Serve at the nation's financial intelligence unit and protect the United States financial system from criminals and terrorist financiers. Learn more about this agency This job is open to * The public U.S. Citizens, Nationals or those who owe allegiance to the U.S. Clarification from the agency U.S. citizens or U.S. Nationals; no prior Federal experience is required. Duties This position is located in our ENFORCEMENT & COMPLIANCE DIVISION. As a Senior Compliance Officer, you will: * Serve as a key advisor to the [Section Chief / Supervisory BSA Compliance Officer] on the formulation, planning, development, and implementation of compliance strategies and initiatives designed to assess, evaluate, examine, and promote

Work Flexibility: Hybrid or Onsite The Senior Compliance Officer is a senior member of the Compliance organization and oversees the Compliance program of the Instruments business with a high level of independence. The Senior Compliance Officer is responsible for developing the Compliance program strategy within their Division to enable business results and effectively manage risk for the company. This role also leads the Compliance Committee, drives alignment to the global Compliance strategy, and influences senior business leadership and other stakeholders in identifying risks and opportunities and implementing appropriate mitigation efforts. As a leader in the Instruments division, the Senior Compliance Officer will support the commercial strategy of the Division and partner with the Senior Leadership Team to effectively manage risk and drive growth. This position is also responsible for ensuring the specific needs of the Instruments businesses are considered in strategic decisions r

DESCRIPTION: A New Jersey based SEC registered investment adviser (“RIA”) seeks candidates interested in applying for the role of Senior Compliance Officer for a firm with 160 plus supervised persons. The RIA is an $8B billion AUM privately held firm that was founded in 1994. The firm provides customized financial planning and wealth management services to a broad array of clients, including high-net-worth individuals, family offices and other institutional clients. The RIA is a “hybrid” RIA with a number of its IARs dually registered with a large third-party broker-dealer. The Senior Compliance Officer will work directly with the firm’s Chief Compliance Officer (“CCO”) to administer and support the RIA’s Rule 206(4)-7 compliance program, including, but not limited to, updating and maintaining the written policies and procedures and managing the compliance-related testing, reviews and risk assessment processes. The Senior Compliance Officer will report directly to the CCO. The specific

Job Description Under the direction of the Chief Compliance Officer, this position is responsible for implementing the Bank's Consumer Compliance Program. If applicable or appropriate, assists in business units' compliance with applicable laws, regulations, regulatory requirements and Bank policies and procedures including but not limited to Fair Banking, Anti-Money Laundering laws and regulations, Bank Secrecy Act and USA PATRIOT Act. Responsibilities Conducts complex quality assurance reviews to validate the effectiveness of the business unit compliance programs and related operational processes. Reviews quarterly monitoring assessments submitted by the business units. Tracks all identified compliance issues, and facilitate the timely resolution of correction action of such issues. Provides direction and feedback to the business units on the quarterly monitoring assessment process and the issue tracking process. Provides direction on the overall Consumer Compliance Monitoring Program