- 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, ... these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of...and will report to the Head of Investment Platform Compliance , Americas , working closely with other … more
- SMBC (Jersey City, NJ)
- …employees. **Role Description** SMBC Group is seeking a Compliance Transformation Officer for the Compliance Department Americas Division ("CPAD"). This ... and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US,...team focuses on several key compliance risk types, including consumer compliance , investment… more
- SMBC (New York, NY)
- …and Compliance . **Scope** The AD Operations FCO will report to the Americas Division Head of Functions Control Officer with an indirect reporting line ... and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US,...its employees. **Job Summary** The AD Operations Function Control Officer (FCO) is a leader, change agent, and risk… more
- Syensqo (Saddle Brook, NJ)
- …in particular to the Group Head of Global Trade and the Group Trade Compliance Officer , on compliance status, risks, and incidents. + **Leadership** ... leading the development, implementation, and management of export controls and sanctions compliance programs across all countries in the Americas region, with… more
- Wellington (New York, NY)
- …Legal, Compliance & Risk Group and will report to the WFD Compliance Officer . Responsibilities The Compliance Analyst's principal responsibilities will ... that aligns our perspectives with those of our clients. **About the Role** ** Compliance analyst, client platform Compliance ** Position overview The Sales and… more
- HSBC (New York, NY)
- **Description** **Regional COO Markets Treasury Americas , HSBC Bank USA NA, New York, NY:** The Regional Markets Treasure (MKTY) Chief Operating Officer (COO) is ... would like to apply to this position, please click the 'Apply' button.** **_In compliance with applicable laws, HSBC is committed to employing only those who are… more
- SMBC (New York, NY)
- …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 as ... and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US,...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… more
- SMBC (New York, NY)
- …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 as ... and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US,...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… more
- SMBC (New York, NY)
- …to its employees. **Role Description** The successful candidate will serve as the Chief Compliance Officer (CCO) and be responsible for leading all components of ... and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US,...the compliance program for an investment advisory firm in Manhattan,… more
- Marex (New York, NY)
- …visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Compliance Officer - Policies and Procedures of ... will create and maintain a Compliance Policies and Procedures for all Americas ... compliance advisor for each regulated entity. The Compliance Officer Policies and Procedures will also… more
- SMBC (Jersey City, NJ)
- …for the Compliance Risk Assessment team ("CRA team") within the Compliance Department Americas Division ("CPAD"), reporting to the Executive Director, Head ... and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US,...of Risk and Control Assessment. As a Compliance Risk Assessment ("CRA") Vice President, this role will… 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 ... bridge to this key global market for trade and investment flows across the Americas and the world. Global Banking & Markets provides a full range of investment… more
- SMBC (New York, NY)
- …trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, ... organization's extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America,… more
- SMBC (New York, NY)
- …trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, ... extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko...rule, and be able to implement, and manage SMBC's compliance program for the Volcker Rule. On a day-to-day… more
- SMBC (Jersey City, NJ)
- …related to overseeing timely implementation for SMBC. **Role Objectives** The Regulatory Officer role works with departments across SMBC Americas Division to ... and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US,...of benefits to its employees. **Role Description** The Regulatory Officer works with the Regulatory Change Management Team as… more
- SMBC (New York, NY)
- …trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, ... organization's extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America,… more
- SMBC (New York, NY)
- …trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, ... extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko...Description** SMBC is seeking a Director / Senior Credit Officer to cover Corporates in North America. + The… more
- Cathay Pacific Airways Limited (New York, NY)
- Cargo Services Officer + CSD - Cargo Services Delivery + New York, New York, USA + Cathay Pacific + Application Deadline20 Sep 2024 Company Description Move Beyond! ... for the port including oversight of suppliers to ensure compliance to Cathay Service levels and regulatory requirements. The...so may not be applicable for every Cargo Services Officer role + Monitor and ensure the required procedures… more
- Morgan Stanley (New York, NY)
- …line of defense business risk department. *The VP US Banks First Line Risk Officer will be responsible for the following: * *Key Responsibilities: * - Execution of ... in financial services industry; preferably in risk management, finance, compliance , or audit. *Bachelor's degree in finance, Accounting, Economics (Preferred)… more
- SMBC (New York, NY)
- …trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas , SMBC Group has a presence in the US, Canada, Mexico, Brazil, Chile, Colombia, ... extensive global network. The Group's operating companies in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko...check accuracy of work of the underwriting analyst and compliance to UW guidelines and standards and RACS, meet… more