- Daiichi Sankyo, Inc. (Bernards, NJ)
- …of compliance coaching letters/closing reports.- Supports Company's broader Compliance Program including special projects, writing educational and training ... diseases and immune disorders.Summary The Manager, Data Privacy & Compliance Investigations, is a member of the Compliance...for (a) managing and enhancing the company's data privacy program and consulting with various business owners to ensure… more
- International Rescue Committee (New York, NY)
- Requisition ID: req54731 Job Title: Program Officer , Monitoring and Compliance Sector: Monitoring & Evaluation Employment Category: Fixed Term ... Work Arrangement:Fully Remote Job Description Job Overview: The Program Officer , Monitoring and Compliance supports the overall quality assurance and … more
- International Rescue Committee (New York, NY)
- …with data, and more agile and impactful, outcomes-focused program design. The Monitoring , Evaluation, and Learning Officer will lead the monitoring and ... Requisition ID: req54628 Job Title: Monitoring , Evaluation, and Learning Officer , VR&P...review and action planning routines, in collaboration with the Monitoring & Compliance and VR&P program… more
- International Rescue Committee (New York, NY)
- …a follow-up action plan to ensure final compliance with internal and funder monitoring findings. + Prepare the IRC HSPRS program for funder monitoring . ... Requisition ID: req54607 Job Title: Quality Assurance & Monitoring Officer , HSPRS Sector: Monitoring...+ Other duties as assigned. + Alongside the Senior Program Officer of Quality Assurance and Data,… more
- Citigroup (New York, NY)
- … Risk Policies and relevant procedures and preparation, editing, and maintenance of Compliance program related materials. + Interacting and working with other ... Serves as a compliance risk officer for Independent ...preparing and presenting regional and global reports related to compliance risk assessments, and monitoring of … more
- CIBC (New York, NY)
- …to senior management; + **Supervising** a Compliance staff to ensure that the Compliance monitoring and testing program is performed in a consistent and ... Ontario, Canada. **What You'll Be Doing** The PWM Chief Compliance Officer ("CCO") is responsible for developing,...is responsible for developing, implementing, and maintaining an effective compliance program to address all relevant OCC,… 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 ... Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage...Legal and control function colleagues to enhance the overall Compliance program . + Escalates regulatory concerns and… 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 ... Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage...Legal and control function colleagues to enhance the overall Compliance program . + Escalates regulatory concerns and… more
- Tradeweb (New York, NY)
- Tradeweb Compliance is looking for a junior to mid-level compliance officer to support our core compliance functions across our regulated entities ... have a reporting line to a supportive and experienced compliance officer based in New York. You...which uphold the standards set forth by the firm's compliance program . These will include core pillars… more
- Neuberger Berman (New York, NY)
- Chief Compliance Officer for over $55 billion complex of funds registered under the Investment Company Act of 1940, covering multiple asset classes and ... **Responsibilities:** + Managing all aspects of a registered fund compliance program , including: + Annual Rule 38a-1...staff dedicated to registered funds business + Overseeing select compliance monitoring functions + Providing ongoing … 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, ... support, monitoring and reporting on Citi's interactions with its regulators,...in order to partner to develop and apply CRM program solutions that meet business and customer needs in… more
- Citigroup (New York, NY)
- …consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice ... Serves as a senior product compliance risk officer for Independent ...on swaps regulations on a real-time basis to manage compliance risk. + Overseeing the monitoring and… more
- Citigroup (New York, NY)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, ... in order to partner to develop and apply CRM program solutions that meet business and customer needs in...and processes established within the risk governance framework. + Monitoring adherence to Citi's Compliance Risk Policies… more
- S&P Global (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 ... the Data & Technology Organization. + Partner with the Compliance Monitoring team pertaining to Data &...to make observations and recommendations for improvement in the Compliance program . + In conjunction with colleagues… 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 ... the compliance program for an investment advisory firm... rules, regulations, and procedures. + Develop and execute monitoring and testing of business activities, including the annual… more
- Citigroup (Jersey City, NJ)
- …consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance ... Serves as a function/business/product compliance risk officer for Independent ...in order to partner to develop and apply CRM program solutions that meet the function/business/product and customer needs… more
- Citigroup (Jersey City, NJ)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for reviewing transactions ... and customer needs in a manner consistent with the Citi program framework. Primary responsibilities include providing day-to-day Compliance advice… more
- Citigroup (New York, NY)
- …consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance ... Serves as a Markets Fixed Income Product Compliance officer for Independent Compliance...in order to partner to develop and apply CRM program solutions that meet the function/business/product and customer needs… more
- SMBC (Jersey City, NJ)
- …of benefits to its employees. **Role Description** SMBC 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...management and our Board of Directors in identifying and monitoring risks that may affect multiple lines of business,… more
- Amalgamated Bank (New York, NY)
- … Compliance & Risk Officer to be responsible for the Compliance and Risk Management Program for the Bank's Investment Management Division/Trust Department ... controls in place to safeguard trust assets as appropriate + Conduct compliance monitoring for internally managed fixed income and equity accounts for reporting… more
