- TD Bank (New York, NY)
- …providing advice and support, as required. **Job Details:** The Head of Compliance , Trade Surveillance and Communications, TDS ( US ) reports to the TDBG VP, ... **Work Location** : New York, New York, United States of America **Hours:** 40...promoting regulatory compliance by developing and maintaining compliance programs , including identifying and disseminating regulatory… more
- Takeda Pharmaceuticals (Boston, MA)
- …is true to the best of my knowledge. **Job Description** **Job Title** : Head RDQCS Compliance **Location** : Cambridge, MA **About the role:** Leads the ... global R&D Quality Compliance organization, providing oversight of the quality systems supporting...and incident escalation. Builds strategic plans for R&D audit programs and inspection preparation to minimize critical observations and… more
- Scotiabank (New York, NY)
- …Scotia (the "BNS"). The position will provide support to the GBM&T in implementing Volcker Rule Compliance Program in the US and Canada. **What You'll Do** + ... global teams on enhancements to the Bank's enterprise Volcker Compliance Program and participate on work streams...family, financial, physical, mental, and social health needs. Location(s): United States : New York : New… more
- S&P Global (New York, NY)
- …discrimination protections under federal law. 10 - Officials or Managers (EEO-2 Job Categories- United States of America), PDMGDV102 - Senior Management (EEO Job ... **Grade Level (for internal use):** 14 **The** **Role** **:** Head of Product, Regulatory & Compliance **The...- (Strategic Workforce Planning) **Job ID:** 306862 **Posted On:** 2024-09-13 **Location:** New York, New York, United States… more
- Citigroup (New York, NY)
- … monitoring programs , identify reporting metrics associated with regulatory compliance program execution, and develop corrective action plans to address ... supporting the policy. + Providing guidance to the thematic Compliance programs on the resolution of open...Type:** Full time **Primary Location:** New York New York United States **Primary Location Full Time Salary… more
- Citigroup (Charlotte, NC)
- … monitoring programs , identify reporting metrics associated with regulatory compliance program execution and develop corrective action plans to address ... developing and executing the strategy for the firm's Independent Compliance Risk Management (ICRM) program for a...**Time Type:** Full time **Primary Location:** Charlotte North Carolina United States **Primary Location Full Time Salary… more
- Citigroup (Jersey City, NJ)
- …AML Compliance Risk Management direction as well as maintain the AML compliance program for the businesses + Translate AML strategy and goals across ... Risk Management **Time Type:** Full time **Primary Location:** Jersey City New Jersey United States **Primary Location Full Time Salary Range:** $170,000.00 -… more
- SMBC (New York, NY)
- …and Testing, and Regulatory Change Management is a crucial role within the Compliance Department, reporting directly to the Head of Corporate Compliance ... the Americas, SMBC Group has a presence in the US , Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed...requirements. + Compliance Risk Assessment: Lead the Compliance Risk Assessment Program , identifying and evaluating… more
- Opportunities for Otsego, Inc. (Oneonta, NY)
- …implement service area plans, policies and procedures + Ensure that the Health and Mental Health programs are in compliance with Head Start and Early Head ... Head Start Health Specialist Oneonta, New York About Us : Opportunities for Otsego is one of 1,000+ Community...to unlock opportunities for low-income individuals and disenfranchised families. Head Start programs promote school readiness by… more
- Neuberger Berman (New York, NY)
- …closed-end fund structures. **Responsibilities:** + Managing all aspects of a registered fund compliance program , including: + Annual Rule 38a-1 compliance ... in client and prospect due diligence meetings + Coordinating compliance program within the framework of the...with all areas and personnel within the Legal and Compliance Department, including the global head of… more
- Amazon (Seattle, WA)
- …We own the roadmap and reporting mechanisms as well as non-tech compliance programs . The Senior PM will own program management of consultations related to ... Description Amazon is seeking an innovative and high-judgement Senior Program Manager (PM) to join the new Compliance Operations team within Amazon Privacy… more
- Siemens Energy (Orlando, FL)
- …standardization committee + Applicants must be legally authorized for employment in the United States without need for current or future employer-sponsored work ... markets. They are consequently an element in ensuring regulatory compliance . As the Head of TR&S you...eligible for internal transfers. **About the Team** Lucky for us , we are not all the same. Through diversity… more
- Janus Henderson Investors (Denver, CO)
- …communicate progress and timely escalation of material findings to the Global Head of Compliance Monitoring and Surveillance. + Produce ongoing reporting ... Why work for us ? A career at Janus Henderson is more...Your opportunity + Contribute to the market abuse and compliance risk assessment and development of tests/ controls/ risk-based… more
- CIBC (New York, NY)
- …and Canadian Commercial & Wealth franchises. Reporting to the Head of US Compliance Examination Program , the Compliance Examination Specialist ... - and we have offices strategically located across the United States to serve clients coast to...is accountable for execution of the US Compliance Examination Plan established to ensure… more
- CIBC (Chicago, IL)
- …visit CIBC.com (https://www.cibc.com/en/about-cibc.html) **JOB PURPOSE** Reporting to the Head of US Compliance Examination Program , the Compliance ... Examination Manager is accountable for execution of the US Compliance Examination Plan established to ensure...in a timely manner in accordance with the annual Compliance Examination Program + Evaluate processes for… more
- CSL Behring (King Of Prussia, PA)
- …responsible for the continued development and maintenance of CSL's world-class regional import-export compliance program . Its focus is to ensure all CSL legal ... **The Opportunity:** Reporting to the CSL Enterprise Global Head of Trade Compliance , as the...providers. You will work closely with the Global Trade Compliance Program function to implement CSL Global… more
- Vanguard (Malvern, PA)
- …will demonstrate comfort and energy when working with ambiguity and have experience in compliance program design. This role reports to the Vanguard Chief ... As the Head of Enterprise Compliance , this individual...in governance activities, provide compliance guidance on compliance issues, corporate programs , and operations. +… more
- TD Bank (Cherry Hill, NJ)
- **Work Location:** Cherry Hill, New Jersey, United States of America **Hours:** 40 **Pay Details:** $250,000 - $370,000 USD TD is committed to providing fair and ... this role. **Line of Business:** Finance **Job Description:** The Head of Finance, Balance Sheet Optimization, Compliance ...over 27 million households and businesses in Canada, the United States and around the world. More… more
- T. Rowe Price (Baltimore, MD)
- … of North America Compliance in developing and maintaining an effective compliance program that ensures adherence to legal and regulatory requirements within ... in overseeing and managing the firm's investment adviser compliance program and ensuring compliance ...bodies. + Proven track record of designing and implementing compliance programs and controls within a complex… more
- Wellington (Boston, MA)
- … will support and provide leadership to Wellington Management's private investments compliance program , focusing on private credit. Wellington is expanding the ... misuse of material non-public information + Supporting Wellington's private investments compliance program (firmwide) regulatory risk areas including those that… more