Bank Holding Compliance Officer:
This opportunity is a permanent Vice President role with a well-regarded US-based Firm known more for Investment Banking. A candidate must show Bank Holding Company, Federal Reserve and/or other Federal Bank agency work experience.
With the support of Legal and Compliance, the responsibilities include monitoring to ensure full compliance with Federal Reserve laws and regulations, internal policies and procedures and report discrepancies to Senior Compliance Management. See More & Apply at Job Board.
Registration Compliance Officer - CRD, CE etc.
Prestigious Investment Bank
Posted: September 3, 2010
Address: Stamford, CT 06907
Responsible for coordinating regulatory, licensing and other legal and compliance tasks to ensure employees are registered and licensed as required. Assist and support Senior Regulatory, Legal and Compliance colleagues in all matters related to SEC and FINRA compliance.
Manage the licensing of employees and related ongoing compliance matters in connection with activities for licensed associates.
Manage, obtain and maintain registrations, including continuing education for licensed associates and reviewing confirmation reports regarding continuing education exams. CE Notices; Tracking CE compliance; RV confirmation reports re: CE exams. See More. Apply, Inquire.