Head of Regulatory Compliance, Wealth Management - Refinitiv - Brookfield, WI
Subject matter expertise in securities industry compliance with a focus on back office regulatory issues (e.g., LOPR, Customer Protection, Net Capital, Large...From Refinitiv - Sat, 26 Jan 2019 12:44:01 GMT - View all Brookfield, WI jobs View full post on Trader Jobs | Indeed.com
Compliance Consultant 3 - Wells Fargo - Menomonee Falls, WI
We help our management and Board of Directors identify and monitor risks that may affect multiple lines of business, and take appropriate action when business...From Wells Fargo - Tue, 31 Jul 2018 20:58:25 GMT - View all Menomonee Falls, WI jobs View full post on Trader Jobs | Indeed.com
Senior Manager, Customs Compliance - KOHLS - Menomonee Falls, WI
Internal control and process improvement activities? Maintains "trusted trader" status with U.S. MAINTAIN EFFECTIVE RELATIONSHIPS WITH INTERNAL AND EXTERNAL...From Kohl's - Tue, 26 Jun 2018 22:51:21 GMT - View all Menomonee Falls, WI jobs View full post on Trader Jobs | Indeed.com
Chief Compliance Officer - Madison Investment Advisors - Madison, WI
At regular meetings, or as requested, report to the Boards on any material changes to compliance policies since that last meeting as well as on any compliance...From Indeed - Tue, 30 Jan 2018 14:32:06 GMT - View all Madison, WI jobs View full post on Trader Jobs | Indeed.com
Compliance Consultant 5 - Wells Fargo - Menomonee Falls, WI
Proven successful track record of building strong teams and managing resources effectively. Demonstrated experience with issue resolution including root cause...From Wells Fargo - Tue, 05 Dec 2017 13:09:51 GMT - View all Menomonee Falls, WI jobs View full post on Trader Jobs | Indeed.com
Financial Compliance Analyst- CRIMS - Delphi-US - Madison, WI
Responsibilities Analyze compliance rules within CRIMS and test, verify and document that all guidelines have operational and functional rules that cover... $65 a dayFrom Dice - Sat, 02 Dec 2017 07:29:28 GMT - View all Madison, WI jobs View full post on Trader Jobs | Indeed.com
CRIMS Compliance Support Analyst - Sharp Decisions - Madison, WI
Please submit your resume only if you possess the skills required. On a daily basis, the CRIMS Compliance Support Analyst will do compliance related work within...From Sharp Decisions - Fri, 01 Dec 2017 21:12:31 GMT - View all Madison, WI jobs View full post on Trader Jobs | Indeed.com
Compliance Consultant 4 - Wells Fargo - Menomonee Falls, WI
Proven successful track record of building strong teams and managing resources effectively. Proactive in identifying areas to improve efficiencies in the area...From Wells Fargo - Tue, 21 Nov 2017 13:05:49 GMT - View all Menomonee Falls, WI jobs View full post on Trader Jobs | Indeed.com
Oracle / SQL Engineer - Compliance Application - JP Morgan Chase - Jersey City, NJ
These roadmap and programs focus on trade (transactional) surveillance covering market manipulation, information barrier surveillance, internal and regulatory...From JPMorgan Chase - Tue, 18 Jul 2017 10:33:16 GMT - View all Jersey City, NJ jobs View full post on Trader Jobs | Indeed.com
SENIOR COMPLIANCE MANAGER - Loomis, Sayles & Company, L.P. - United States
We are an Equal Opportunity Employer and do not discriminate against any employee or applicant for employment because of race, color, sex, age, national origin,...From Loomis, Sayles & Company, L.P. - Tue, 30 May 2017 07:11:53 GMT - View all United States jobs View full post on Trader Jobs | Indeed.com