Designated Principal, Email Surveillance & Compliance
StoneX Group Inc.
StoneX Group Inc. in Miami, FL seeks a broker-dealer designated principal for email review and surveillance. The role requires reviewing firm emails across the organization and monitoring electronic communications to ensure compliance. Requirements include 2 years in broker dealer supervision, email surveillance experience, and strong communication skills. Education should include a college degree or industry experience plus Series 7, 24 and 63 credentials. #J-18808-Ljbffr StoneX Group Inc.
$55k - $70k
...and management technology.Position purpose: Broker dealer designated principal email review. Review firm email from across the firm.... ...:2 years of experience in broker dealer supervisionEmail surveillance experienceGood communication skillsEducation requirements...PrincipalSurveillance1 day per week- StoneX Group is seeking an Email Surveillance Specialist to monitor broker-dealer communications, including email and social media, ensuring regulatory compliance and firm policy adherence. The role supports institutional operations and involves collaboration with the supervisory...PrincipalSurveillance
- ...to-market, partnerships, and new ventures.Design operating models, decision rights,... ...priority North American Consumer Goods clients.Principal Directors have:Executive presence and the... ...toll free at (***) ***-**** or send us an email or speak with your recruiter.Equal...PrincipalFull timeLive inWork at officeLocal area
- Compliance AnalystThe Compliance Department at Millennium serves to adopt, implement, and enforce a Compliance program... ...and procedures, processes, systems, controls, surveillance, testing and reporting, which is designed to prevent or detect violations of applicable laws,...Surveillance
$168k - $240k
...and the evolution of Slalom.The Role: M&A Principal/Senior PrincipalWhat You’ll Do:*... ...management, playbooks, and operating model design* Experience working across various industriesAbout... ...are committed to pay transparency and compliance with applicable laws. If you have...PrincipalTemporary workWork at officeLocal areaImmediate start- ...an experienced and strategic Chief Compliance Officer (CCO) to lead the... ...Broker-Dealer Compliance & Supervisory Principal Serve as the designated Chief Compliance Officer and Supervisory... ..., Reg BI obligations, trade surveillance, books and records, and regulatory...SurveillanceFull timeLocal area
- ...firm is seeking an experienced Head of Compliance to lead and oversee the firm's regulatory... ...activities, compliance monitoring, surveillance, testing, and risk assessments. Provide... ...degree required; advanced degree or professional compliance designation preferred....SurveillanceFull time
- ...Generate outbound leads through email campaigns, social outreach,... ...—including security, video surveillance, access control, active... ...Our total rewards package is designed to support you holistically—... ...conducting analytics, and ensuring compliance with applicable legal...SurveillanceCasual workWork at officeImmediate startWorldwide
$120k - $170k
...Responsibilities The Deputy Chief Compliance Officer reports directly to the Chief Compliance... ...is responsible for assisting in the design, implementation, and oversight of... ...reporting functions, including review of surveillance reports, exception reporting, and supervisory...Surveillance$130k
...Value (NPV) credit models. Framework Architecture: Support, design, and build end-to-end credit analytics frameworks for SNPL and... ...risk tightly within target bands. Credit Monitoring & Surveillance: Maintain constant surveillance on credit distribution and reporting...SurveillanceWork at officeFlexible hours- Jacobs is seeking an experienced Major Crossings Design-Build Principal to lead pursuit, planning, and execution of large bridge and transportation infrastructure projects across the US. You will provide strategic leadership across Design-Build and alternative delivery...Principal
$158k - $210k
...intelligence platform, we’re looking for a Principal Product Manager to lead the development... ...engagements with globally distributed design and development teams to manage the product... ...evaluating candidates fairly, consistently, and in compliance with all applicable laws....PrincipalLocal areaFlexible hoursShift work$10 per hour
...The opportunity:Join Flexport's dynamic Compliance Program as the Senior Manager, Supply... ...visitors, assets, and facilities through the design and execution of security programs,... ...security systems, including CCTV surveillance and access control platforms, and evaluate...SurveillanceWork at officeLocal areaWorldwide- Royal Caribbean Group in Miami, FL is seeking an Associate Principal, Organizational Effectiveness to drive holistic Org Design, partner with senior executives, and shape future state structures. Reporting to Senior Director, you will lead transformation initiatives and...Principal
- ...division prevents, detects and mitigates compliance, regulatory and reputational risk... ...or amended laws, rules and regulations; designs and implements controls, policies, procedures... ...will include:Monitoring and conducting surveillances focusing on compliance with regulatory...SurveillanceWork at office
- Norwegian Cruise Line Holdings Ltd. seeks a Principal Experience Designer to lead the unified digital design experience across the guest journey—Shop, Book, Presail, Onboard, Next Cruise. You will align with Sr. Product Owners, Content Strategist, and Experimentation Strategist...Principal
- ...s interests.This position will include compliance, regulatory and study specific training... ...subjects about disease state or study design.Interact and build positive relationships... ..., and reporting.Medical Literature surveillance and summaries to be shared across the company...SurveillanceFull timeTemporary workFor contractorsWork at officeLocal areaWork from homeNight shift1 day per week
- ...whenever needed or called upon. Contacting designated administrative staff person as soon as... ...risk. Coordinating regular hazard surveillance tours of the facility including departmental... ...utility system sufficient to determine compliance with safety standards and requirements...SurveillanceImmediate startNight shiftDay shiftAfternoon shift
- ...could help make great things possible not only in your community, but around the world. The Tampa office of HDR is in search of a Design Principal to join our growing practice and continue the legacy of providing our clients and communities with creative design solutions...PrincipalWork at officeLocal area
$131k - $185k
...harmonization* Logistics& Distribution: Network design, DC and 3PL transition, transportation... ....The targeted base salary pay range for Principal in Silicon Valley and San Francisco is $... ...are committed to pay transparency and compliance with applicable laws. If you have...PrincipalTemporary workLocal area$200k - $260k
...Principal Product Manager, Digital Assets Circle (NYSE: CRCL) is one of the world's leading... ...and Arc, an enterprise-grade blockchain designed to become the Economic OS for the... ...executive stakeholders, engineering leadership, compliance, treasury, and external partners, you...PrincipalRemote workFlexible hours- ...patient medical records to evaluate staff compliance with assessment/reassessment, nursing... .../or ensures Tempo Huddle occurs at the designated time. Provides feedback as necessary... ...monitoring of infection control and surveillance as indicated in the Infection Control plan...SurveillanceTemporary workFlexible hoursShift work
- ...an experienced and strategic Chief Compliance Officer (CCO) to lead the... ...Broker-Dealer Compliance & Supervisory Principal \n Serve as the designated Chief Compliance Officer and Supervisory... ..., Reg BI obligations, trade surveillance, books and records, and regulatory...SurveillanceLocal area
- Comp AI is hiring a Senior Product Designer to own the product experience end to end, turning ambiguous problems into shipped solutions for compliance teams. You’ll frame problems, explore options, and drive the design from concept to live product that users rely on daily...
- ...We are seeking an experienced Senior Compliance Officer for our client. This individual will play a key role in managing and enhancing... ...firm’s SEC/RIA compliance program, regulatory examinations, surveillance, and risk oversight. Responsibilities Support the development...SurveillanceFull time
- ...We are seeking an Investment Advisory Chief Compliance Officer to play a key leadership role within the compliance function of an established... ...regulatory requirements. Oversee ongoing compliance surveillance, monitoring, testing, and reviews of advisory activities and...SurveillanceFull time
- ...Intelligence & Data Management Support the design, maintenance, and continuous... ...project governance and operational reviews Compliance & Governance Ensure business solutions... ...SHIFT:StandardTRAVEL:Not specifiedMEDICAL SURVEILLANCE:Not ApplicableSIGNIFICANT WORK ACTIVITIES...SurveillanceLocal areaShift work
- ...We are seeking a Director of Compliance with Broker/Dealer experience to join our client's team! This role is responsible for overseeing... ...includes overseeing transaction monitoring and automated surveillance programs. Anti-Money Laundering (AML): ~ Manage all aspects...SurveillanceFull time
- ...Regulatory Compliance Manager About the Role: We are Velox Clearing, a clearing broker/dealer located in Miami, Florida, in search... ...can take full ownership of our internal compliance, trade surveillance, and regulatory affairs programs. You will serve as a primary...SurveillanceFull time
- ...Risk Management professionals to enhance compliance, productivity, and quality across the... ...Recently, the FDA selected RxLogix's PV Surveillance Suite Platform to replace its legacy... ...terms. Program Development: Assist in designing customized partnership programs for each...Surveillance
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