- NatWest Markets (Stamford, CT)
- US Chief Compliance Officer Closing date for applications: 07/08/2024 Stamford,United States Permanent Full Time \#R-00236989 Share: ... investment banking context, sound practices and appropriate guidance to the NWM Chief Compliance Officer and nominated officers, including the first line +… more
- City of New York (New York, NY)
- …and external audit, financial reporting and programmatic fiscal processes to serve as Chief Compliance Officer . The selected candidate for this position ... matters related to fiscal oversight or of agency-wide significance, the Chief Compliance Officer duties and responsibilities will include but not… more
- CIBC (New York, NY)
- …institution based in Toronto, Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is responsible for developing, implementing, ... SEC, OCC, and state of Delaware rules and regulations; + **Working** with the US Chief Compliance Officer and the Director of US Compliance Programs to… more
- SMBC (New York, NY)
- …benefits 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
- 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: ... for this role when Hired for NYC Offices **Position Summary** The Chief Research Compliance Officer /Research Integrity Officer (CRCO/RIO) is responsible… more
- Bloomberg (New York, NY)
- …YOU TO:** Support the Global Head of Risk and Compliance Shared Services, the global Chief Compliance Officer , and the global Chief Risk Officer , ... Risk Assurance and Testing Oversight Officer - Chief Risk Office **New...as evidenced by our award-winning pro bono program. The Chief Risk Office and Global Compliance team… more
- Arena Investors LP (New York, NY)
- …function overseeing Arena's principal lines of business. The CRO will partner with our Chief Compliance Officer (CCO) and our operating Business Leaders to ... areas where conventional sources of capital are scarce. We are seeking a Chief Risk Officer (CRO) to join Arena. The newly created role will create a… more
- Citigroup (New York, NY)
- …ICRM CAO is a member of the ICRM leadership team working daily with the Citi Chief Compliance Officer and the ICRM leadership team related to the following: ... + Independent Compliance Risk Management is Citi's second line compliance risk oversight function chartered to provide ongoing challenge and oversight of the… more
- CUNY (Queens, NY)
- HR Chief Diversity Officer - Diversity and Compliance : York College/CUNY **POSITION DETAILS** York College, founded in 1966, is a center of academic ... College/CUNY is seeking candidates to fill the position of Chief Diversity Officer . York College is located...supervision and direction to the Office of Diversity and Compliance which is responsible for promoting DEI programs in… more
- JPMorgan Chase (Jersey City, NJ)
- …As part of RM&C CFO, the RM&C Finance & Business Management team supports the firm's Chief Risk Officer , RM&C Chief Financial Officer and the Risk ... to JPMorgan Chase; as part of Risk Management and Compliance , you are at the center of keeping JPMorgan...and skills** + 7+ years of experience as a chief of staff, business manager or communications professional +… more
- S&P Global (New York, NY)
- …and to the Regional Covering Compliance Managers (RCCM) and, at times, the Chief Compliance Officer (North America) on significant compliance matters ... **About the Role:** **Grade Level (for internal use):** 12 **The Role: Compliance Officer ** The Compliance Officer role is based in Englewood or New York… more
- SMBC (New York, NY)
- …the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various ... Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or process with a large… more
- Morgan Stanley (Purchase, NY)
- …RIAs. - Maintain and update the Compliance policies and procedures. - Support the Chief Compliance Officer with the annual review of the RIA ... **Job:** ** Compliance * **Title:** *Wealth Management Institutional RIA Compliance Officer * **Location:** *New York-Purchase* **Requisition ID:** *3254828* more
- Insight Global (New York, NY)
- … Compliance Officer to join their organization this person will be assisting the Chief Compliance Officer for all day to day activities. They will be ... involved and exposed to all areas of compliance including BSA, AML, KYC and OFAC. The role...with OCC for annual review. * Oversight of other compliance individuals while CCO is unavailable We are a… more
- MTA (New York, NY)
- …- $104,700 HAY POINTS: 519 DEPT/DIV: MTA Corporate Compliance SUPERVISOR: Agency Chief Compliance Officer LOCATION: 2 Broadway HOURS OF WORK: 9:00 ... attention. + Manage the analytical and administrative work generated by the Agency Chief Compliance Officer and Compliance Director as part of Internal… more
- Wellington (New York, NY)
- …investments business. Therefore, a key responsibility of the role is to work with the Chief Compliance Officer to build-out, manage and execute the ... Legal and Enterprise Risk Group and will report to the Private Investments Chief Compliance Officer , working closely with other compliance professionals… more
- Panasonic North America (Newark, NJ)
- …Human Resources, Communication, and Legal Departments. Frequent communication with senior Executives including Chief Compliance Officer , Chief Legal ... Manager, Compliance Training & Awareness REQ: REQ-144978 Legal Panasonic...States + De Soto,KS,United States + Sparks,NV,United States Panasonic Compliance Training and Awareness Manager Every moment of every… more
- SMBC (New York, NY)
- … Compliance Department (ie, Compliance Administrative Officer and Chief Compliance Officer ). **Role Objectives** + Assist with the management ... **Role Description** SMBC would like to hire a Senior Compliance Program Manager who would be responsible for the...and oversight of the Americas Division Compliance Department (CPAD). + Provide broad support… more
- Citigroup (New York, NY)
- …and objectives with compliance strategy and risk appetite. + Representing Chief Compliance Officer in significant strategic initiatives as requested. ... Serves as key credit cards product and unsecured lending compliance risk manager and thought leader for Independent Compliance Risk Management (ICRM) responsible… more
- Citigroup (New York, NY)
- …and objectives with compliance strategy and risk appetite. + Representing Chief Compliance Officer in significant strategic initiatives as requested. ... Serves as key function/business/product compliance risk manager and thought leader for Independent...compliance risk manager and thought leader for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies,… more