- Family and Children's Association (Mineola, NY)
- Compliance Officer The Opportunity FCA is excited to announce an opportunity for the position of Compliance Officer . As we continue to grow and evolve, ... review and evaluate compliance issues/concerns within FCA. The ideal Compliance Officer will ensure FCA complies with the rules and regulations of regulatory… more
- Weill Cornell Medical College (New York, NY)
- Title: Chief Research Compliance Officer /Research Integrity Officer Location: Upper East Side Org Unit: General Research Compliance Work Days: ... this role when Hired for NYC Offices **Position Summary** The Chief Research Compliance Officer /Research Integrity Officer (CRCO/RIO) is responsible for… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role **Job Description:** **Job Overview:** This Compliance Officer is a key member of the TDS US Compliance ... global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core Compliance … more
- Hold Brothers (New York, NY)
- …goals are delivered. We are seeking a highly skilled and experienced public equities trading Compliance Officer to join our team. The Compliance Officer ... Brothers Capital, LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate/ Officer to join the team. He/she will help with the delivery… more
- City of New York (New York, NY)
- …add staff to fulfill critical functions. Position Summary The Assistant General Counsel and Compliance Officer reports directly to the General Counsel and is a ... Trust's legal and compliance department. The Assistant General Counsel and Compliance Officer will assist in managing the Trust's legal matters, focusing on … more
- City of New York (New York, NY)
- …external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer . The selected candidate for this position will use an ... matters related to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include but not be limited to:… more
- Tradeweb (New York, NY)
- Tradeweb Compliance is looking for a junior to mid-level compliance officer to support our core compliance functions across our regulated entities ... This role will have a reporting line to a supportive and experienced compliance officer based in New York. You will have a high-level understanding of regulation… more
- Bloomberg (New York, NY)
- …and correspond with regulators. We are seeking a Trade / Export Control Compliance Officer who is adept in US export control regulations specifically ... import / export compliance across the various Bloomberg businesses. The Compliance Officer will maintain compliance with applicable customs / export and… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large… more
- City National Bank (New York, NY)
- ** COMPLIANCE OFFICER SENIOR** **WHAT IS THE OPPORTUNITY?** The Senior Compliance Officer is responsible for managing and maintaining assigned areas of ... the compliance program including monitoring business area compliance with applicable laws and regulations, ensuring controls are in place to mitigate … more
- Wellington (New York, NY)
- …Therefore, a key responsibility of the role is to work with the Chief Compliance Officer to build-out, manage and execute the compliance infrastructure ... Enterprise Risk Group and will report to the Private Investments Chief Compliance Officer , working closely with other compliance professionals and attorneys.… more
- SMBC (New York, NY)
- …of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as ... Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large… more
- CIBC (New York, NY)
- …based in Toronto, Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is responsible for developing, implementing, and maintaining ... state of Delaware rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US Compliance Programs to develop, implement… more
- Institute of Electrical and Electronics Engineers (New York, NY)
- Temporary Executive Assistant to the General Counsel and Chief Compliance Officer - 240171 : N/A Description Job Summary: This temporary position supports the ... General Counsel and Chief Compliance Officer , its Managing Counsels and the Legal and Compliance Department through a variety of tasks that require careful… more
- Motion Recruitment Partners (New York, NY)
- Privacy Compliance Officer New York, NY **Hybrid** Contract $64.08/hr - $70/hr Our client is looking for full-time Privacy Compliance Officer . This role ... global privacy initiatives, interacting on a regular basis with Legal & Compliance , Information Security, Technology, Business, and Internal Audit groups as well as… more
- S&P Global (New York, NY)
- …Officers and the Risk & Internal Controls team globally, the Data & Technology Covering Compliance Officer will be a direct liaison and a point of escalation ... S&P Global Ratings data and technology activities from a Compliance , Risk & Internal Controls perspective. The role will...Internal Controls perspective. The role will also represent the Compliance & Risk function in data and technology governance… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... support of the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and procedures. **What… more
- Marex (New York, NY)
- …information visit www.marex.com (http://www.marex.com/) Purpose of Role: Marex is seeking a Surveillance Compliance officer to join their team in New York. The ... and venues with an opportunity to gain exposure to a wider range of compliance activities at a market-leading firm. Marex has unique access across markets with… more
- SMBC (New York, NY)
- …to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of ... the compliance program for an investment advisory firm in Manhattan,...near future. The CCO will foster a culture of compliance and ensure local regulatory compliance requirements… more
- Mizuho Corporate Bank (New York, NY)
- Derivatives Regulatory Compliance OfficerBrief Description: The Regulatory Compliance Officer will be responsible to assist in the development and ... Business and Infrastructure managers, as well as with other Compliance staff, to assess impact of new and amended...Assist the CCO and other team members with other compliance program enhancement projects and BAU functions, as needed.… more