Trade Compliance Officer Jobs in the United States
Nagase America
Itasca, IL
Nagase America LLC is a global leader in innovative products and solutions through expertise in chemicals, plastics, electronics, automotive and life sciences. The Trade Compliance Specialist is responsible for handling compliance and regulatory tasks related to trade, risk management, and operational support within the Trade Compliance division.
Nagase America
Itasca, IL
Nagase America LLC is a global leader in innovative products and solutions through expertise in chemicals, plastics, electronics, automotive and life sciences. Founded 1832, Nagase Group has grown to include over 100 companies in 20 countries with 6,000 employees worldwide.
Biostem Technologies
Pembroke Pines, FL
The Compliance Officer will collaborate with senior leadership, legal, regulatory, and operational teams to maintain the integrity of BioStem's compliance efforts, ensuring that the company operates in accordance with healthcare regulations, FDA requirements, and global anti-bribery laws. Develop, implement, and regularly update BioStem's Corporate Compliance Program to ensure it meets U.S. Sentencing Guidelines for Organizations and Office of Inspector General (OIG) guidance.
Edward Jones
Saint Louis, MO
Hiring Minimum: $70659 Hiring Maximum: $116516 Read More About Job Overview Skills/Requirements Bachelor's degree is required, and a graduate degree is preferred Professional certification (e.g., Certified Fiduciary and Investment Risk Specialist (CFIRS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or Certified Anti-Money Laundering Specialist (CAMS)) or equivalent amount of industry experience is required Minimum of 4 years financial services audit or regulatory compliance experience is required Strong knowledge of fiduciary principles, as well as applicable laws, regulations, and industry best practices Capability to interpret and apply legal and regulatory requirements independently and develop and implement methods to monitor processes and evaluate them against these requirements Strong research skills, coupled with the ability to locate and use professional and regulatory resources Strong organizational and project management skills Strong written and verbal communication skills Read More About Skills/Requirements Awards & Accolades At Edward Jones, we are building a place where everyone feels like they belong. Job Overview Position Schedule: Full-Time In this role, you will partner with numerous internal business areas throughout the firm to support the continued growth of Edward Jones Trust Company's business and our commitment to bring to life the positive impact that our clients wish to have on their families and communities during their lifetimes and beyond.
Edward Jones
$70659 - $116516 undefined
Saint Louis, MO
Professional certification (e.g., Certified Fiduciary and Investment Risk Specialist (CFIRS), Certified Internal Auditor (CIA), Certified Public Accountant (CPA), or Certified Anti-Money Laundering Specialist (CAMS)) or equivalent amount of industry experience is required. In this role, you will partner with numerous internal business areas throughout the firm to support the continued growth of Edward Jones Trust Company's business and our commitment to bring to life the positive impact that our clients wish to have on their families and communities during their lifetimes and beyond.
Edward Jones
$72700 - $119800 undefined
Saint Louis, MO
Edward Jones is prohibited from hiring individuals with certain specified criminal history as set forth in Section 3(a)(39) and 15(b)(4) and Rule 17a-3(a)(12) of the Securities and Exchange Act of 1934, and conducts background reviews consistent with FINRA Rule 3110(e). High degree of influence and informal leadership by guiding home office associates and firm stakeholders on decision making on individual situations to broad firm policy application and process improvement.
Edward Jones
$96471 - $164262 undefined
Saint Louis, MO
Assist Technology Risk Leader in developing risk strategy to maximize the firm's benefits whilst minimizing risk exposure, developing systems to control and monitor risk, such as early warning detecting systems that alert leaders to new or evolving risks. This position will execute the risk management program, which includes performing and facilitating risk assessments, connecting the risks across reporting responsibility and assisting the divisional Technology Risk Leader in prioritizing risk mitigation efforts.
Edward Jones
$168500 - $286900 undefined
Saint Louis, MO
Serve as a subject matter expert on legal regulatory issues, including broker-dealer regulation, with a focus on compliance with securities laws, rules, and regulations, including broker-dealer conduct rules, Regulation Best Interest, reporting and disclosure obligations, trading regulations, and corporate governance requirements. The position requires strong collaboration, an aptitude for continual learning, demonstration of intellectual curiosity by asking questions and connecting work across multiple initiatives, ability to identify and mitigate risks in new and evolving areas of law, and an ability to influence firm leaders.
Edward Jones
$140400 - $239100 undefined
Saint Louis, MO
Work closely within Enterprise Risk Management and with business stakeholders to provide repeatable, timely, accurate and actionable risk reporting, key metrics, and information aligned to: 1) the company's strategic objectives and our Enterprise Risk Management strategy and 2) governance structures, roles and responsibilities, Administration and oversight of the firm's GRC (Governance Risk Compliance) vendor and related tool(s) and guidance on usage to ERM and business partners. This position is responsible for leading the enablement of Enterprise risk capabilities, providing risk consultation across the Enterprise, aggregation and prioritization of the Enterprise risk profile, building and enabling our Enterprise risk culture and ensuring alignment of our risk framework to the firm's strategic objectives.
Edward Jones
$140400 - $239100 undefined
Saint Louis, MO
This position is responsible for leading the enablement of Enterprise risk capabilities, providing risk consultation across the Enterprise, aggregation and prioritization of the Enterprise risk profile, building and enabling our Enterprise risk culture and ensuring alignment of our risk framework to the firm's strategic objectives. Edward Jones is investing in maturing our Enterprise Risk Management capabilities and is seeking an Enterprise Risk Leader to lead our Risk Controls capability and framework as part of the Enterprise Risk Management program.
Edward Jones
$163886 - $279048 undefined
Saint Louis, MO
This position is responsible for driving enablement of our Enterprise risk capabilities, providing risk consultation across the Enterprise, aggregation and prioritization of the Enterprise risk profile, building and enabling our Enterprise risk culture and ensuring alignment of our risk framework to the firm's strategic objectives, regulatory environment and industry risk management best practices. Responsible for the leadership, innovation, governance, and management necessary to identify, assess, mitigate, monitor and prioritize the company's Enterprise risk profile, in collaboration with First Line Risk teams through matrixed leadership.
Edward Jones
Saint Louis, MO
This position is responsible for leading the enablement of Enterprise Model risk capabilities, providing model risk consultation across the Enterprise, aggregation and prioritization of the Enterprise model risk profile, building and enabling our Enterprise risk culture and ensuring alignment of our risk framework to the firm's strategic objectives. Leads a team of model validators to conduct independent validation and periodic review of models, including Artificial Intelligence (AI) and Machine Learning (ML) models, under development and in production across the organization to ensure they are fit for purpose, operating as intended and appropriately calibrated.
Edward Jones
$136571 - $232541 undefined
Saint Louis, MO
This position is responsible for leading the enablement of Enterprise Model risk capabilities, providing model risk consultation across the Enterprise, aggregation and prioritization of the Enterprise model risk profile, building and enabling our Enterprise risk culture and ensuring alignment of our risk framework to the firm's strategic objectives. Leads a team of model validators to conduct independent validation and periodic review of models, including Artificial Intelligence (AI) and Machine Learning (ML) models, under development and in production across the organization to ensure they are fit for purpose, operating as intended and appropriately calibrated.
Edward Jones
$59886 - $98752 undefined
Saint Louis, MO
Assessment, placement of timely market cover trades, and timely rejection notifications of trade cancels and rebills involving complex systems, which requires strong technical knowledge and creates financial and/or regulatory risk if delayed or completed incorrectly. Acting in capacity as General Securities Principal with supervisory responsibility over reviewing, approving, and processing of trade cancels and rebills of equity, fixed income, and UIT securities.
Edward Jones
$113810 - $193785 undefined
Saint Louis, MO
As the Team Leader of the Risk Transformation team within the DDO First Line Risk capability, you will lead a team of individual contributors and work in partnership with many stakeholders, including DDO leadership, SMEs, as well as representatives from platform vendors to ensure delivery of the right outcomes while growing our impact. Key position specific responsibilities include: Lead a team of risk professionals that performs (a) process design risk assessments over processes within the Operations division that are being transformed via automation, and (b) digital platform implementation risk assessments for vendor sourced digital platforms that are intended to maximize the level of straight through processing within Operations.
Fernridge Group
New York, NY
The firm emphasizes personalized mentoring and training for new hires, aiming to develop their skills and promote from within (they recently created a formal program here!) . Compliance is led by experienced professionals who have ample experience in the asset management world and will be excellent senior people to learn from .
Fernridge Group
New York, NY
Help to develop compliance risk management frameworks and conduct annual reviews and risk assessments, including diligence to assess adequacy of internal controls. Work and coordinate with other firm groups, including with HR on matters relating to compliance needs for onboarding new employees and ongoing compliance-related training and IT on privacy matters and cyber security.
Marmen Energy
Brandon, SD
For more than 50 years, we have been serving multiple markets, including aviation, oil and gas, hydropower, steam and gas turbines, nuclear power, mining and steel mills, wind power, infrastructure, space, defense and military and many more. As an International Trade Compliance Specialist, you will be expected to : Interpret International Traffic in Arms Regulations (ITAR), Export Administrations Regulations (EAR), Foreign Trade Regulations (FTR), INCOTERMS, and provide guidance on import and/or export related shipments.