- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... 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… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to perform as the Senior Lead Business Line Compliance Officer for ... team lead directing the day-to-day activities of one Lead Compliance Officer **In this role, you will:**... issues in Public Finance; and ensure that escalated compliance issues receive immediate senior management attention.… more
- Wells Fargo (New York, NY)
- **About this role:** This Senior Lead Compliance Officer position will provide IRM coverage of FINRA licensed bankers in Corporate and Investment Banking ... + Develop, oversee, train, and provide expert business and regulatory compliance advice. Provide independent credible challenge of business activities. + Establish,… 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
- Citigroup (New York, NY)
- Serves as a senior product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, ... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating… 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
- 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
- Neuberger Berman (New York, NY)
- …experience in role of senior lawyer with compliance responsibilities, or senior compliance officer (or CCO) for registered funds + Strong knowledge ... Chief Compliance Officer for over $55 billion...of direct reports + Ability to work closely with senior business and management in fast-paced, results oriented environment… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... 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… more
- Citigroup (New York, NY)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, ... be part of the Global Privacy and Responsible Data compliance team covering the North America Cluster. It will...to influence and lead people across cultures at a senior level + Experience in managing regulatory exams and… more
- Citigroup (New York, NY)
- Serves as a risk officer for Independent Compliance Risk Management (ICRM)'s Exam Management and Regulatory Liaison Office responsible for the promotion, ... regulators. + Establishing and developing effective relationships within Citigroup senior management, front line, second line (including independent risk, finance,… more
- JPMorgan Chase (New York, NY)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the ... impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box, challenging the status quo and… 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 ... + Developing and coordinating communications for the Banking & International Chief Compliance Officer and Senior Leadership Team. + Leading initiatives and… more
- Citigroup (New York, NY)
- Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating… more
- Citigroup (Jersey City, NJ)
- Serves as a senior CitiDirect & CitiConnect product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for ... with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice relating… more
- Citigroup (Jersey City, NJ)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing ... the Citi program framework. Primary responsibilities include providing day-to-day Compliance advice relating to transactional conflicts, operations,, and guidance on… more
- CIBC (New York, NY)
- …contribute. To learn more about CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) The Senior US Equity Derivatives Compliance Officer is ... at the time of your interview. How You'll Succeed The Senior US Equity Derivatives Compliance Officer is primarily accountable for: + Overseeing the… more
- Ankura (New York, NY)
- …internal controls, and systems processes; + Prepare compliance reports for Compliance Officer , Senior Management, and/or Board; + Assist clients ... Conduct independent regulatory program reviews and Testing; + Drafting BSA/AML compliance programs and developing training for FinTech's and broker-dealers. +… more
- City of New York (New York, NY)
- …to audits. Provides reports on accountability/ compliance to the Chief Program Officer and the senior stakeholders. Makes recommendations based on these ... Program Officer , with wide latitude for independent judgment and decision-making, the Senior Advisor to the Chief Program Officer and Director of Strategic… more
- US Bank (New York, NY)
- …skills and discover what you excel at-all from Day One. **Job Description** Senior Credit Approval Officer position within Credit Risk Management with ... Government Banking, Depository Financial Institutions (DFI) and Education Non-Profit (ENP). The Senior Credit Approval Officer will be responsible for review and… more