- SMBC (New York, NY)
- …business partners to advise on compliance matters and interpret rules. This Compliance Advisory Director will be primarily focused on providing oversight and ... Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the… more
- Scotiabank (New York, NY)
- Associate Director , Legal Counsel, Global Transaction Banking **Requisition ID:** 201779 **Salary Range:** 180,000.00 - 211,800.00 _Please note that the Salary ... winning team, committed to results, in an inclusive and high-performing culture. **Associate Director , Legal Counsel, Global Transaction Banking - New York, NY**… more
- Citizens (New York, NY)
- …Inc., Citizens institutional broker-dealer, is seeking a highly skilled Compliance Director to lead our advisory and trade surveillance efforts. Our ... Director of Institutional Equities, Options, and Fixed Income Compliance , you will be responsible for overseeing both advisory...Fixed Income markets. + 5-10 years of experience in trade surveillance and/or compliance advisory roles. +… more
- RELX INC (New York, NY)
- …degree; and JD with active bar admission. + Demonstrate an extensive background in legal compliance , investigations, and trade sanctions. + Have in-depth ... Do you have a real eye for detail and compliance ? Are you a legal professional looking...program. + Conducting Risk Assessments: Identify potential areas of trade compliance vulnerability and support remedial measures.… more
- TD Bank (New York, NY)
- …details for this role **Job Description:** **Preferred Qualifications:** We are looking for a Director , US Markets Compliance Advisory to join our team in NYC. ... investment banking space, preferably in an advisory capacity. The Director will primarily focus on the management of the...law firm will be considered. + Experience in providing legal , regulatory or compliance advice to Markets… more
- City of New York (New York, NY)
- … Director of Administration Planning Operations and Emergency Support Services, the Director of Contracts and Compliance with wide latitude for independent ... is seeking to recruit one (1) Administrative Staff Analyst NMII to function as the Director of Contracts and Compliance who will: - Oversee the DVS Contracts and… more
- Citigroup (New York, NY)
- The Head of Compliance for Citi Retail Services (CRS) is a Director level role, which serves as a senior function/business/product compliance risk manager ... who fail to maintain these standards. **Qualifications:** + 10+ years experience in compliance , legal or other control-related function in a financial services… more
- City of New York (New York, NY)
- …. Discreetly handling sensitive employee reports or information. Advising management on legal compliance and creating action plans for audit findings or ... The Bureau of Human Resources seeks to hire an Administrative Manager, NM/L-III (Senior Director , Office of Compliance Services). DUTIES WILL INCLUDE BUT NOT BE… more
- Citigroup (New York, NY)
- …focus + Related certifications desirable **Education:** + Bachelor's degree; experience in compliance , legal or other control-related function in the financial ... Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal… more
- Citigroup (Jersey City, NJ)
- …navigating complex, highly-matrixed organizations **Education:** + Bachelor's degree; experience in compliance , legal or other control-related function in the ... Serves as a compliance risk manager for Independent Compliance ...platform encompasses a number of surveillance related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside… more
- SMBC (New York, NY)
- …issues and discuss related or new regulatory requirements. + Proactively engages with Compliance , Legal and control function colleagues to enhance the overall ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...of benefits to its employees. **Role Description** The Advisory Compliance team serves as a regulatory advisory function and… more
- CIBC (New York, NY)
- …and strategic initiatives. Who You Are + 12+ years of experience in Legal , Compliance and/or Regulatory covering Equities and Equity Derivatives Sales and ... please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) The Senior US Equity Derivatives Compliance Officer is responsible for: 1) administering CIBC's policies… more
- Citigroup (New York, NY)
- …innovation. + Coordination of content approvals with relevant second line functions including compliance and legal . + Work closely with other Marketing teams to ... Marketing supports the growth of our market-leading Treasury and Trade Solutions (TTS) business by building and enabling a...of Product and Segment Marketing. + The Product Marketing Director will be a senior-level executive who oversees the… more
- City of New York (New York, NY)
- …buy-against transactions, formal requests for time extensions on contracts, etc. ensuring legal compliance ; Recommends approval or disapproval of contracts for ... and Vendor Performance Evaluations. Under the direction of the Director of the VCR, with the widest possible latitude...as well as agency audits/financial documents to ensure contract compliance with legal requirements. - Act as… more
- Capital One (New York, NY)
- NYC 299 Park Avenue (22957), United States of America, New York, New York Director , Assistant General Counsel: Commercial Real Estate The Capital One Legal ... and bridge lending. In addition, this role will assist in enhancing the legal infrastructure of CRE and driving consistency across CRE business segments. The… more
- City of New York (New York, NY)
- …services through enhanced communication and coordination between agencies. The Director of Interagency Partnerships is responsible for establishing, coordinating, ... who may be providing benefits and services to low-income New Yorkers. The Director leads the coordination of special projects involving DSS and other government… more
- City of New York (New York, NY)
- …investigator on grants related to viral hepatitis, overseeing Institutional Review Board, legal , and fiscal compliance . Support Viral Hepatitis Program staff to ... Initiatives, STI, and Viral Hepatitis. BHHS seeks a Clinical Advisor/Viral Hepatitis Director to provide technical expertise and support across BHHS on clinical… more
- Morgan Stanley (New York, NY)
- …in financial regulations. - Interface with multiple operations stakeholders, Business Unit, Legal , Compliance and Technology for investigation of reporting and ... We're seeking someone to join our team as a Director in Operations Risk and Regulatory Control to be...Trail (CAT) Expert: The individual will need to understand trade flows, order events, and customer account reporting with… more
- BMO Financial Group (New York, NY)
- …+ Understand complexity of transactions and related risk (credit, market, operational, legal / compliance , etc.). + Balances the Bank's risk appetite with the ... to support trading products business and facilitating credit approvals in support of Trade Finance products. Cross sells Corporate Banking products (eg FX / treasury… more
- SMBC (New York, NY)
- …Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the ... to its employees. **Role Description** CM is seeking a Director within its Risk Management Department. The role will...develop key risk categories and risk identification in full compliance with relevant regulations. 3. Assist in the development… more