- City Of New York (New York, NY)
- …direction of the Director, Investigations and Compliance Unit, the Investigations and Compliance Officer will:- Manage relationships with agency EEO ... non-discrimination training curricula, conducts very time-sensitive high level discrimination complaint investigations when the EEO Officer or agency head is… more
- UBS (Weehawken, NJ)
- …yet rewarding role? We are looking for someone who can:* serve as an AML Officer for Asset Management division of UBS, helping to lead and coordinate the delivery of ... program* apply strong knowledge of AML regulations to ensure compliance with the Bank Secrecy Act* Serve as the...serve as the point of contact for the AML Investigations team for Asset Management and review SAR filings,… more
- Sumitomo Mitsui Financial Group, Inc. (Jersey City, NJ)
- …portfolio of benefits to its employees.Role DescriptionSMBC Group is seeking a Compliance Transformation Officer for the Compliance Department Americas ... Division ("CPAD"). This team focuses on several key compliance risk types, including consumer compliance , investment banking related compliance , conduct,… more
- Citigroup, Inc (Jersey City, NJ)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing transactions ... the Citi program framework. Primary responsibilities include providing day-to-day Compliance advice relating to transactional conflicts, operations,, and guidance on… more
- S&P Global, Inc (New York, NY)
- …Officers and the Risk & Internal Controls team globally, the Data & Technology Covering Compliance Officer will be a direct liaison and a point of escalation ... to Data & Technology employees' adherence to S&P Global Ratings' Policies.Undertake Compliance investigations and reviews as required.Assist in the development… more
- Falconx (New York, NY)
- …to get involved with and to continue growing and learning together. Chief Compliance Officer , US Swap DealerFalconX is the most advanced digital asset ... Bravo, Inc. is a registered Swap Dealer. We are seeking an experienced Chief Compliance Officer for our registered Swap Dealer. This person will advise internal… more
- Sumitomo Mitsui Financial Group, Inc. (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 ... Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage...Contributes to various reporting requirements and other ad hoc investigations . Work with Global Advisory team and other legal… more
- Bloomberg (New York, NY)
- …our award-winning pro bono program.We are seeking an Anti-Bribery & Anti-Corruption (ABAC) Compliance Officer who will be responsible for supporting the overall ... It's up to you to make it happen. What's the role?Bloomberg's Legal & Compliance Department plays a critical role in supporting our businesses and operations around… more
- Deutsche Bank (New York, NY)
- Job Description:Job Title Compliance Officer - Head of Origination & Advisory - DirectorCorporate Title DirectorLocation New York, NYOverviewAs the Compliance ... Do Draft, update, and implement relevant policies and proceduresProvide regulatory/ compliance trainingAssist the Business in implementing and documenting various… more
- Citigroup, Inc (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
- Marex Spectron (New York, NY)
- …services.For more information visit www.marex.comPurpose of Role:Marex is seeking a Surveillance Compliance officer to join their team in New York. The ... venues with an opportunity to gain exposure to a wider range of compliance activities at a market-leading firm.Marex has unique access across markets with… more
- Xstrata (New York, NY)
- …/ Market ConductLocation: New York, NY - USAJob Summary:As the Market Conduct Junior Compliance Officer , you will play an important role in supporting the growth ... or change management role, preferably with exposure to market abuse, surveillance, investigations , compliance or regulatory matters in a global, geographically… more
- Deutsche Bank (New York, NY)
- Job Description:Job Title Compliance Officer - Investment Bank Compliance - Fixed Income Sales & Trading - RatesCorporate Title Vice PresidentLocation New ... regulations; draft, update, and implement relevant policies and proceduresProvide regulatory/ compliance training; assist the Business in implementing and documenting… more
- Deutsche Bank (New York, NY)
- Job Description:Job Title Compliance Officer - Investment Bank Compliance - Fixed Income Sales & Trading - RatesCorporate Title Vice PresidentLocation New ... regulations; draft, update, and implement relevant policies and proceduresProvide regulatory/ compliance training; assist the Business in implementing and documenting… more
- Deutsche Bank (New York, NY)
- Job Description:Job Title Compliance Officer - Investment Bank Compliance - Origination & Advisory - Capital MarketsCorporate Title Assistant Vice ... Draft, update, and implement relevant policies and procedures, Provide regulatory/ compliance trainingAssist the Business in implementing and documenting various… more
- Deutsche Bank (New York, NY)
- Job Description:Job Title Investment Bank Compliance Officer - Origination & AdvisoryCorporate Title Vice PresidentLocation New York, NYOverviewYou will focus on ... policies and procedures - this includes trainingParticipate in internal investigations , respond to regulatory inquiries (this includes interaction with federal/state… more
- UBS (Weehawken, NJ)
- …different teams engaged in the conduct of often complex and high-profile financial investigations of possible violations of the Bank Secrecy Act (BSA), USA PATRIOT ... systems including the Standardized Case Management Tool and UBS' in-house investigations platforms* communicate effectively and with confidentiality. You will be… more
- ICL (New York, NY)
- …the design, development, implementation, and maintenance of the enterprise-wide compliance , risk management system, policies and procedures development, and ... informs, educates, and champions the principles of the ICL's Corporate Compliance Plan.Coordinates planning and implementation of system-wide programs, policies, and… more
- S&P Global, Inc (New York, NY)
- …monitoring processes to ensure adherence to key policies and facilitate compliance training programs.Contribute to compliance investigations and ... Level (for internal use):12About the Role:S&P Global is seeking a Compliance Director to join our Compliance Team for the S&P Global Dow Jones Indices (SPDJI)… more
- Citigroup, Inc (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
