- Citigroup (Jersey City, NJ)
- Serves as a compliance testing officer for Independent Compliance Risk Management (ICRM)'s Independent Assessment team responsible for assessing ... to address reported issues. Key Activities include: + Developing, implementing, and executing compliance testing and reporting programs in accordance with the … more
- Citigroup (Jersey City, NJ)
- Serves as a compliance risk officer for Independent Compliance Risk Management (ICRM) testing team responsible for assessing compliance risks and ... + Participating in the planning, executing, and reporting of compliance testing reviews and regulatory issue validation...middle and back office Operations activities within the Global Markets business, in accordance with the Compliance … 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 ... in an inclusive and high-performing culture. **Global Banking and Markets ** Global Banking and Markets (GBM) is...issues and execute action plans for Internal Audit and Compliance Testing findings assigned to Compliance… 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, ... that span nearly all segments of the global capital markets . Our investment solutions, tailored to the unique return...these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of… more
- Amalgamated Bank (New York, NY)
- Amalgamated Bank is seeking a Compliance Officer to assist the Consumer Compliance Officers to ensure the Bank's loan, deposit products and services maintain ... relative to lending, deposit, and loan servicing regulations. + Collaborate with Chief Compliance Officer in executing the Bank's Compliance Management… more
- Tradeweb (New York, NY)
- …functions including implementation of written supervisory procedures, policies, training, annual testing , transaction monitoring and AML compliance + Manage the ... electronic trading. Tradeweb Markets LLC ("Tradeweb") is proud to be an EEO Minorities/Females/Protected Veterans/Disabled/Affirmative Action Employer. https://www.dol.gov/ofccp/regs/ compliance… more
- SMBC (Jersey City, NJ)
- …deposits) is a strong plus (but not required). + Experience in a Compliance Testing or Audit role focused on banking products/services (lending, deposits) ... clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's...of the CRA are utilized to drive monitoring and testing activities and to prioritize Compliance and… more
- Siebert Williams Shank (New York, NY)
- …and experienced compliance professional to the team led by the Chief Compliance Officer . The selected candidates will be responsible for supporting the ... firm's overall compliance program including developing policies and procedures, communicating all...& trading, public & corporate finance groups, and training, testing and assessments. In addition, the selected candidates will… more
- Citigroup (New York, NY)
- …Credit Management Counterparty Credit Risk - Funds Underwriting Credit Officer , Asset Management Companies, VP** **Description** Citi's Commercial Bank (CCB) ... the ICM CCR Funds UW Team and will based in NYC. The Funds UW Credit Officer facilitates the end-to-end lending process and is essential for the delivery of a wide… more
- Citizens (New York, NY)
- …Senior Credit Offer to cover the New York Metro Region for the Middle Market organization. This role is a highly visible leadership role requiring strong risk ... analyzing, and structuring, and decisioning transactions in a growth oriented Middle Market Division aligned with the strategic goals and initiatives of the… more
- BMO Financial Group (New York, NY)
- Assists in the implementation, maintenance, and administration of specific compliance programs within Global Markets , I&CB, and necessary registrations across ... training needs and helps develop training based on gaps identified through the compliance monitoring and testing . + Identifies enhancements to business group … more
- SMBC (New York, NY)
- …and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in ... Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing...the current compensation paid in their geography and the market for similar roles at the time of hire.… more
- Bank of America (New York, NY)
- Compliance & Operational Risk Manager- Global Markets & Fixed Income New York, New York **Job Description:** At Bank of America, we are guided by a common ... team work. **Skills:** + Advisory + Monitoring, Surveillance, and Testing + Regulatory Compliance + Reporting +...market misconduct. * Work closely with other regional Compliance and Operational Risk teams to ensure consistency in… more
- SMBC (New York, NY)
- …and municipal clients. It connects a diverse client base to local markets and the organization's extensive global network. The Group's operating companies in ... Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets , Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing...the current compensation paid in their geography and the market for similar roles at the time of hire.… more
- Wells Fargo (New York, NY)
- …are accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... **About this role:** Wells Fargo is seeking a Lead Control Management Officer to join our Wealth and Investment Management (WIM) Control Team. This… more
- Wells Fargo (Iselin, NJ)
- …are accountable for execution of all applicable risk programs (Credit, Market , Financial Crimes, Operational, Regulatory Compliance ), which includes effectively ... Apply today. **About this role:** Wells Fargo is seeking a Lead Control Management Officer to join its Cloud Control Management team. This First Line of Defense team… more
- City National Bank (New York, NY)
- *SENIOR BUSINESS CONTROL MANAGER - CAPITAL MARKETS * WHAT IS THE OPPORTUNITY? The Senior Business Control Manager will report into the Business Control Officer of ... in the team that will design, maintain, implement, manage and enhance the capital markets first line risk program for four separate line verticals (FX, Interest Rate… more
- Citigroup (Queens, NY)
- …QATV team in enhancing and employing an "audit-style" approach to test Citi's compliance with the US Regulations** **Develop testing strategy (eg, scoping ... **The** **Conformance Testing - Fin Quality Assurance Manager** **, is...regulatory reports (eg, FR 2052a, FFIEC 009/009a)** **Strong financial market knowledge of fixed income, capital markets … more
- Scotiabank (New York, NY)
- …to lead compliance audits for trade surveillance to identify potential market abuse and work collaboratively with various departments to enhance our controls and ... + Assess the effectiveness of the bank's trade surveillance compliance program through an effective challenge of market...will be an asset. + Working knowledge of Capital Markets Products and Regulations including Compliance framework,… more
- Citigroup (New York, NY)
- …ensure Market Risk Management is industry leading and in compliance with regulatory expectations. This includes the implementation of new regulatory requirements ... Job Description **Role Overview:** The Global Market Risk (GMR) Fundamental Risk of the Trading...organisation and with cross-functional stakeholders, including Finance and the Markets Business to drive FRTB Implementation. The role will… more