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- ...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
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$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
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$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$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- ...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
$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- ...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
- ...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
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$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- ...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
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- ...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
- ...Principal Analyst, It Compliance The Principal Analyst, IT Compliance is responsible for developing and documenting strategies which ensure that... ...frameworks, and methodologies that can enhance solution designs and delivery. Evaluate and recommend appropriate solutions...PrincipalFull timePart timeWork experience placementRemote workWork from home
- ...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
$126k - $170k
...Principal EHS Consultant - Business Growth Leader We exist to create positive change for... ...This is a senior, client-facing role designed for an accomplished safety and EHS consulting... ...safety management systems, regulatory compliance, risk management, and EHS performance...PrincipalPermanent employmentFull timeContract workTemporary workRemote workFlexible hours- ...requirements. The CRO will work closely with the CEO, COO, Finance, Compliance, Technology, and Client Service teams and will have authority... ...on regulatory, AML, market-manipulation, and trade-surveillance matters that may create financial or reputational risk. Support...SurveillanceFull time
- ...Job Description We are seeking an experienced Senior Compliance Officer for our client. This individual will play a key role in managing... ...firm’s SEC/RIA compliance program, regulatory examinations, surveillance, and risk oversight. \n \n Responsibilities \n \n...Surveillance
- ...Risk Officer is responsible for a wide variety of supervisory, compliance, and risk functions. In conjunction with the Senior Risk... ...Manager and Senior Risk Officer. Duties and Responsibilities Surveillance and Supervision Primary responsibility for all risk,...SurveillanceLocal area
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