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Compliance Jobs in Maryland
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Job Title
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Company Name
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Location
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Posted Date
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Action |
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| Specialist- Compliance (Ref: 00831) |
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Americas, United States Baltimore | 07/30/2010 |
  
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PRIMARY PURPOSE OF THE POSITION The Compliance Specialist is responsible for assisting with the administration of the firm's Code of Ethics program in regards to employee trading activity. The position exists to review and audit employee personal securities transactions and related reports/files to ensure strict adherence to regulatory requirements and the...
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| Operations Compliance Associate (Ref: 100730-KD-01) |
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Americas, United States Baltimore | 07/29/2010 |
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Position DescriptionThis individual will provide compliance support for global Operations. Candidate will be expected to advise on FINRA, NYSE, NASD and SEC rules, regulations, and applicable internal policies and procedures. Candidate must demonstrate ability to effectively analyze complex situations, absorb large amounts of information, and apply judgment to resolve issues...
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| Adjustment Specialist (Ref: 00827) |
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Americas, United States Owings Mills | 07/28/2010 |
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PRIMARY PURPOSE OF THE POSITION The Adjustment Specialist is responsible for managing the overall workflow of the Adjustment Department. These responsibilities include monitoring adjustment work volumes, work assignment to Adjustment Representative, and coordination of Adjustment related activities with other areas within Retail Operations. The position is fluent in all functions performed...
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| Defined Benefit Analyst, Retirement Plan Services (Ref: 00826) |
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Americas, United States Owings Mills | 07/28/2010 |
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PRIMARY PURPOSE OF THE POSITION The Defined Benefit Analyst is responsible for the successful delivery of Defined Benefit administration services for one to several clients that may contain multiple plans, qualified and non-qualified, of varying design (e.g. traditional, cash balance, etc.). PRINCIPAL RESPONSIBILITIES 1. DB Administration Services• Plan Expert - Primary resource on...
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| Senior Technical Auditor (Ref: 00812) |
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Americas, United States Owings Mills | 07/23/2010 |
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PRIMARY PURPOSE OF THE POSITION The Sr. Technical Auditor develops and implements audit plans of internal business processes, application systems, general controls, and technical infrastructure; develops recommendations to Business Unit and IT management based on audit findings to enhance and improve operations; reports on audit findings and resolution to company senior...
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| Content Manager (Ref: 00810) |
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Americas, United States Baltimore | 07/23/2010 |
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PRIMARY PURPOSE OF THE POSITION The Content Manager plays a lead role in executing the strategic objectives of the investment and non-investment content utilized by the Institutional Content Group (ICG) in supporting client acquisition outputs, such as RFPs, RFIs and DDQs. The position contributes to the development and maintenance of: • Investment...
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| Operations Compliance Associate (Ref: 100723-KD-01) |
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Americas, United States Baltimore | 07/23/2010 |
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Position DescriptionThis individual will provide compliance support for global Operations. Candidate will be expected to advise on FINRA, NYSE, NASD and SEC rules, regulations, and applicable internal policies and procedures. Candidate must demonstrate ability to effectively analyze complex situations, absorb large amounts of information, and apply judgment to resolve issues...
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| Bank Services & Reconciliation Associate (Ref: 00806) |
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Americas, United States Owings Mills | 07/21/2010 |
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PRIMARY PURPOSE OF THE POSITION The Bank & Reconciliation Services Associate position supports daily accounting and reporting functions with limited supervision for Central Control in accordance with internal regulations and banking requirements. This position may act in a backup or secondary capacity to support the special projects, reconciliation of complex bank...
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| Retirement Plan Services Tax Group Specialist (Ref: 00805) |
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Americas, United States Owings Mills | 07/21/2010 |
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PRIMARY PURPOSE OF THE POSITION The Tax Group Specialist has various responsibilities that include the review and analysis, along with the performance of, procedures for deposit requirements, reporting requirements, and the cash reconciliation process. The position is responsible for accounting and reconciliation functions of the tax withheld to deposits made to...
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| Trading Assistant-Equity (Ref: 00802) |
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Americas, United States Baltimore | 07/21/2010 |
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PRIMARY PURPOSE OF THE POSITIONThe Trading Assistant is responsible for many aspects of the order management in equity trading, including order entry and allocation, compliance monitoring, and customization for each account's unique constraints. The Trading Assistant will consult with Portfolio Modelers, Traders and Portfolio Managers to ensure that orders implement...
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