- Bloomberg (New York, NY)
- …Head of Employee Compliance .** **What's the Role?** **We are seeking a Compliance Officer with deep E-Comms Surveillance & Monitoring experience. You ... our award-winning pro bono program.** **Our Team** **As an Electronic Communications (E-Comms) Surveillance Officer , you'll be a critical member of the Employee … more
- Bank of America (New York, NY)
- Sr . Business Controls Officer New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to help make financial lives better ... level, to work alongside a global team of trade surveillance specialists, focused on the Equity and Equity Derivatives...also work closely with the Equity LOB supervisors and senior management/COOs and other support functions (eg, Compliance… more
- Wells Fargo (New York, NY)
- …Join us! **About this role:** Wells Fargo is seeking a Lead Control Management Officer within FICC Trade Surveillance . Learn more about our career areas and ... Global Payments Services, Mortgage Servicing, FCM, and Prime Services businesses. The Trade Surveillance FICC Subject Matter Expert (SME) will report to the Head of… more
- TD Bank (New York, NY)
- …for your business area/function and the bank, both internally and/or externally The Senior Compliance Office provides advice, guidance and support to business ... of issues * Network with other colleagues in Global Surveillance and the wider Compliance teams and...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer .... + Participate in the review of monitoring and surveillance routines and respond to alerts or issues from ... the Bank's business strategies and objectives. Provide advice on compliance with governing regulations and Bank internal policies and...Surveillance by investigating the circumstances surrounding trades or communications… more
- BMO Financial Group (New York, NY)
- …the office each week is the expectation Our team is growing its Fixed Income Compliance team in New York with a focus on FINRA and SEC broker-dealer requirements and ... and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of… more
- Santander US (New York, NY)
- VP- Bank Regulatory Compliance Officer New York, United States of America USA Job Family Description: Vice President, Bank Regulatory Compliance Advisory ... which focuses on investment banking advisory engagements and lending services. Compliance Officer implements a comprehensive and sustainable compliance… more
- Bank of America (New York, NY)
- …and oversight program. + Develop and distribute executive-level reporting to senior managers, including preparing metrics, and reporting surveillance results ... GCIB Business Controls Officer , Communications Review & Enterprise Programs New York,...needed, particularly in specialized areas (BEC, APAC, LATAM, GCIB/COO senior management, etc.) + Serve as back-up reviewer across… more
- Bank of America (New York, NY)
- …class. This individual will work closely with the LOB supervisors and senior management/COOs and other support functions (eg, Compliance , Enterprise Independent ... Commodities, Business Controls Officer New York, New York **Job Description:** At...relating to non-financial risk, including but not limited to compliance with regulatory rules and guidance as well as… more
- City of New York (New York, NY)
- …organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent ... looking to recruit a Preventive Medicine Residency Director and Senior Population Health Physician. This role demands a combination...areas of focus - Advise and assist Chief Medical Officer and other agency executives on areas of focus… more
- Blue Foundry Bank (Parsippany-Troy Hills, NJ)
- …+ Prepares detailed reports, risk assessments, and presentations on the bank's BSA/AML/OFAC compliance status for senior management and the Board of Directors. + ... reports and conducting analysis. + Serves as a backup to the BSA/AML Officer in their absence, ensuring continuity of compliance operations. Position… more
- Bank of America (New York, NY)
- …Skills + Written Communications + Active Listening + Issue Management + Monitoring, Surveillance & Testing + Regulatory Compliance + Technical Documentation + ... the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer...trading desk and other risk and support groups (ie, Compliance , Finance, Operations, etc.) + Review and Challenge of… more
- City of New York (New York, NY)
- …guidelines. - Monitor and evaluating the effectiveness of the Section. - Serve as senior executive officer of the assigned Section and principal advisor to the ... mission is to safeguard the health of New Yorkers through identification, surveillance , treatment, control, and prevention of infectious diseases, which is achieved… more