- Daiichi Sankyo, Inc. (Bernards, NJ)
- …conducting monitoring, conducting training, drafting and reviewing policies and procedures , etc. Support global compliance initiatives (eg, global reporting ... , will collaborate with other key stakeholders in implementing policies , procedures , training, and process controls to...and assisting with the assignment and scheduling of open compliance matters in accordance with established procedures .… more
- MultiPlan (New York, NY)
- … compliance , and operational efficiency. Develop, maintain, and enforce IAM policies , standards, guidelines, and procedures to ensure consistent and secure ... JOB REPORTS TO: The Chief Information Security Officer (CISO) JOB SUMMARY: The Director of Information Security - Identity and Access Management (IAM) provides… more
- 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
- 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
- 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
- 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
- Wells Fargo (New York, NY)
- …and exercise independent judgment while developing the knowledge to understand function, policies , procedures , and compliance requirements + Monitor the ... **About this role:** Wells Fargo is seeking a **Lead Compliance Officer ** in Corporate Risk as part...and resolve issues to meet business objectives + Interpret policies , procedures , and compliance requirements… more
- City National Bank (New York, NY)
- ** COMPLIANCE OFFICER SENIOR** **WHAT IS THE...quality of records. + Comply fully with all Bank Compliance policies and procedures as ... OPPORTUNITY?** The Senior Compliance Officer is responsible for managing and maintaining assigned areas...mitigate compliance risk. Maintaining regulatory change management, policies and procedures , training, and advisory matters… 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
- 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
- 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
- City of New York (New York, NY)
- …of the Director, Investigations and Compliance Unit, the Investigations and Compliance Officer will: - Manage relationships with agency EEO personnel, ... compliance with EEO, diversity, and inclusion, anti-harassment /anti-discrimination policies . - Establish a standardized review and approval protocol for agency… 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 (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
- Citigroup (New York, NY)
- Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance Risk Management (ICRM). Specific coverage areas include: Global Rates, ... as well as, provide transactional approvals and interpretation of internal compliance policies . + Assisting with regulatory inquiries and/or examinations.… 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
