- Marex (New York, NY)
- …by the compliance advisor for each regulated entity. The Compliance Officer Policies and Procedures will also maintain the Written Supervisory ... Procedures for the business units. The Compliance Officer Policies and Procedures will ensure that all policies and procedures are up to date,… more
- Citigroup (New York, NY)
- …(ICRM) responsible for leading and managing business execution activities, supporting the Chief Compliance Officer and the Senior Leadership team for Banking & ... working together to deliver priority change initiatives for the office of the Chief Compliance Officer . In addition, this role plays engages with ICRM product… more
- Wells Fargo (New York, NY)
- …+ Make decisions and resolve issues to meet business objectives + Interpret policies , procedures , and compliance requirements + Collaborate and consult ... this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to perform as the Senior...adhering to applicable Wells Fargo policies and procedures , appropriately fulfilling risk and compliance obligations,… more
- Robert Half Legal (New York, NY)
- …* Prepare, maintain, organize, and track materials relating to our enterprise-wide compliance efforts, including policies and procedures , corporate filings, ... efforts, including privacy and data security and other policies that apply across the organization; reviewing, editing, formatting,...are also offered. Requirements * Proven experience as a Compliance Officer or similar role within the… more
- Akumin (New York, NY)
- …and its subsidiaries and affiliates. Reporting to General Counsel, the Chief Compliance Officer is responsible for all aspects of development, implementation, ... Privacy Compliance (CHPC), Certified Fraud Examiner (CFE), Certified Professional Compliance Officer (CPCO), or Certified Professional Coder (CPC) **Physical… more
- Wellington (New York, NY)
- …aligns our perspectives with those of our clients. **About the Role** The Compliance Officer will support Wellington Management's compliance program, ... infrastructure against these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of the Legal, … more
- Amalgamated Bank (New York, NY)
- …compliance with federal and state regulations, as well as all Bank compliance -related policies and procedures . Organize and execute day-to-day operational ... Amalgamated Bank is seeking a Compliance Officer to assist the Consumer...ensure existing and proposed deposit and lending-related business practices, policies , procedures , software systems, documents and disclosures… more
- SMBC (New York, NY)
- …+ Advises business units on the maintenance of their policies and procedures with focus on current compliance framework as reference point. + Coordinate ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...knowledgeable resource. Incumbents may develop and exercise business plans, policies and procedures , as well as oversees… more
- CIBC (New York, NY)
- …PWM's Compliance risk assessment; + **Establishing and maintaining** written policies and procedures designed to achieve adherence with fiduciary, investment ... Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is responsible for developing,...advisory, bank and securities regulations and internal Compliance policies ; + **Responding** to … more
- Scotiabank (New York, NY)
- …personnel in scope for training. + Develop, draft, amend and maintain compliance policies , procedures and manuals outlining requirements, regulations, ... Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary...and best practices. Provide comments to relevant business and compliance policies and procedures as… 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 ... Group and will report to the Private Investments Chief Compliance Officer , working closely with other ...information; integrate those measures with the firm's "public side" policies and procedures to identify and prevent… more
- SMBC (New York, NY)
- …regulatory inquiries. + Advises on the maintenance of internal policies and procedures with focus on current compliance framework as reference point. + ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...knowledgeable resource. Incumbents may develop and exercise business plans, policies and procedures , as well as oversees… 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… more
- Neuberger Berman (New York, NY)
- Chief Compliance Officer for over $55 billion...review; + Maintaining compliance manual and associated policies and procedures ; + Assist with the ... least five years' experience in role of senior lawyer with compliance responsibilities, or senior compliance officer (or CCO) for registered funds + Strong… more
- Citigroup (Jersey City, NJ)
- …as well as, provide transactional approvals and interpretation of internal compliance policies . + Assisting with regulatory inquiries and/or examinations. ... Serves as a Services product compliance risk officer across the North...Risk Management (ICRM) responsible for assisting with internal strategies, policies , procedures , processes, and programs to prevent… more
- Citigroup (New York, NY)
- …as well as, provide transactional approvals and interpretation of internal compliance policies . + Assisting with regulatory inquiries and/or examinations. ... Serves as an Electronic Trading (ET) product compliance risk officer for Independent ... Risk Management (ICRM) responsible for establishing internal strategies, policies , procedures , processes, and programs to prevent… more
- SMBC (New York, NY)
- …global policies , standards, processes, regulatory reporting, training, and maintenance of compliance manuals, policies , and procedures . + Engage with and ... Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for...to ensure compliance with regulations and internal policies and procedures . + Oversee the development… more
- Marex (New York, NY)
- …transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non- compliance risks. ... US Marex Solutions Policies and Procedures and Written Supervisory Procedures . + Provide Compliance Advisory services for US Marex Solutions Trade… more
- Citigroup (Jersey City, NJ)
- …as well as, provide transactional approvals and interpretation of internal compliance policies . + Assisting with regulatory inquiries and/or examinations. ... Serves as a function/business/product compliance risk officer for Independent ...Risk Management (ICRM) responsible for assisting with internal strategies, policies , procedures , processes, and programs to prevent… more
- Citigroup (Jersey City, NJ)
- Serves as a senior CitiDirect & CitiConnect product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... internal strategies, policies , procedures , processes, and programs to prevent...activities include:** + Designing, developing, delivering and maintaining best-in-class Compliance , programs, policies and practices for ICRM.… more