- Fidelity Investments (Jersey City, NJ)
- …self-directed clients and helping them save and invest. You will report to the Vice President of Brokerage Services and Operations (BSO), within the Brokerage ... corrective actionsOversee Brokerage issue and action plan management to ensure compliance with enterprise risk requirements utilizing the Archer tool.Respond to all… more
- Project Renewal, Inc. (New York, NY)
- Vice President , Compliance Executive- Varick Street Headquarters, 200 Varick St, New York, New York, United States of America Req #1327 Thursday, December ... 26, 2024 Title: Vice President , Compliance Location:New York City Metro Area Salary:$160,000 -$175,000 Position Overview: The Vice President , … more
- SMBC (Jersey City, NJ)
- …employees. **Role Description** SMBC's Compliance Department Americas Division is seeking a Vice President of the Compliance Monitoring and Testing team ... of its broker/dealer (SMBC Nikko Securities America, INC). The Vice President is responsible for execution of...have direct management oversight of a small team of compliance professionals to support monitoring and testing engagements to… more
- Santander US (New York, NY)
- Central Compliance , Vice President - Corporate & Investment Banking New York, United States of America The Central Compliance VP Monitors activities to ... remediation. Represents or supports the reputation of the company to minimize compliance and regulatory risk by resolving issues and ensuring adherence to company… more
- JPMorgan Chase (Brooklyn, NY)
- …box, challenging the status quo and striving to be best-in-class. As a Conduct Risk Compliance Vice President within the Compliance Conduct and ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...Knowledge of second line risk management (operational risk and compliance ) practices + High degree of initiative, self-direction, and… more
- TD Bank (New York, NY)
- …role. **Job Description:** The TDS US Compliance team is looking for Vice President to join the trade surveillance team focused on Communications. Preferred ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $120,000 - $190,000 USD TD is committed to providing fair… more
- TD Bank (New York, NY)
- …this role. **Job Description:** The TDS US Compliance team is looking for Vice President candidates to join the trade surveillance team. Preferred 5-10 years ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $120,000 - $190,000 USD TD is committed to providing fair… more
- JPMorgan Chase (Jersey City, NJ)
- …status quo and striving to be best-in-class. As a Executive Communication and Reporting Vice President within the Chief Administrative Office of the Commercial & ... expertise to JPMorganChase. As part of Risk Management and Compliance (RM&C), you are at the center of keeping...customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is committed to providing fair ... this role. **Job Description:** **Preferred Qualifications:** TD Securities' Regulatory Compliance Management Framework (RCM) is implementing new programs and… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $185,000 USD TD is committed to providing fair ... this role. **Job Description:** **Preferred Qualifications:** TD Securities' Regulatory Compliance Management Framework (RCM) is implementing new programs and… more
- SMBC (Jersey City, NJ)
- …offers a competitive portfolio of benefits to its employees. **Role Description** SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer ... Compliance Monitoring & Testing (M&T). The VP is responsible...Serves as the examiner-in-charge responsible for all facets of compliance M&T engagements. + Assists in the development and… more
- SMBC (Jersey City, NJ)
- …portfolio of benefits to its employees. **Role Description** The Communications Surveillance Vice President role will report to the Lead of Transformation, ... Audit and Reporting within the Compliance Communications Surveillance function and will be instrumental in...Communications Surveillance Program. As a change agent, Communications Surveillance Vice President will play an integral role… more
- JPMorgan Chase (New York, NY)
- …and striving to be best-in-class. As an Operational Risk Management Lead, Vice President within Risk Management and Compliance (RM&C) you will become a part ... to JPMorgan Chase. As part of Risk Management and Compliance (RM&C), you are at the center of keeping...customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging… more
- BlackRock (New York, NY)
- **About this role** The Vice President will be a versatile collaborator, display leadership qualities, and be enthusiastic in addressing new challenges. This ... global privacy initiatives, interacting on a regular basis with Legal & Compliance , Information Security, Technology, Business, and Internal Audit groups as well as… more
- MUFG (New York, NY)
- …details. Our ideal candidate will possess a strong understanding of regulatory compliance , risk management, and business operations. This role requires someone who ... and able to effectively communicate with various stakeholders. + Assess regulatory/ compliance controls related to areas of coverage. This would include providing… more
- BlackRock (New York, NY)
- …to serve as a member of BlackRock's 1940 Act Registered Fund Compliance team, focusing on multiple product lines including mutual funds, closed-end funds ... products. This individual will be able to effectively manage compliance risk and help ensure compliance with...effectively manage compliance risk and help ensure compliance with regulatory requirements and applicable BlackRock policies and… more
- NBC Universal (New York, NY)
- …ShowMax and certain other websites and apps. This role will report to the Vice President , Regulatory Compliance and Privacy. Responsibilities include: + ... direction of the DTC group's Senior Vice President and Vice President , Regulatory Compliance and Privacy. + Assist with creating, compiling and… more
- Ross Stores, Inc. (New York, NY)
- …forward the legal/business objectives of the Company\. The position will report to the Vice President , Compliance & Regulatory Counsel and will work directly ... development for our teams\. **GENERAL PURPOSE:** The Director, Product Compliance & Regulatory Attorney will work as a member...work as a member of the Ross Legal and Compliance team, as part of the New York\-based Legal… more
- JPMorgan Chase (Jersey City, NJ)
- …promote governance on strategic digital transformation initiatives. As a Vice President in the dynamic Risk Management and Compliance (RM&C) Portfolio ... Join JPMorgan Chase as a Vice President in the dynamic Risk Management and Compliance (RM&C) Portfolio Management & Data Insights team. You'll be at the… more
- JPMorgan Chase (Jersey City, NJ)
- …the status quo and striving to be best-in-class. As a Surveillance Lead Vice President within the North America Commodities Trade Surveillance team, you ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging… more
