- 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, ... **About Us ** **Wellington Management** offers comprehensive investment management capabilities...these growth initiatives and implementing enhancements where necessary. The Compliance Officer will be a member of… more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to perform as the Senior Lead Business Line Compliance Officer for Public ... team lead directing the day-to-day activities of one Lead Compliance Officer **In this role, you will:**...and regulatory bodies on risk related topics **Required Qualifications, US :** + 7+ years of Compliance experience,… 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 ... strategies ( equity , fixed income, liquid alternatives and private equity...five years' experience in role of senior lawyer with compliance responsibilities, or senior compliance officer… 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 ... the Americas, SMBC Group has a presence in the US , Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… 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 ... the Americas, SMBC Group has a presence in the US , Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed...Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage… 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 ... **About Us ** **Wellington Management** offers comprehensive investment management capabilities...Group and will report to the Private Investments Chief Compliance Officer , working closely with other … more
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a Senior Lead Compliance Officer to support the business aligned compliance functions on the Fixed Income Sales & ... Trading Compliance Team is the Business Aligned Compliance Officer (BACO) for the Structured Products...1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to… 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, ... of the City of New York. Our commitment to equity , effectiveness, and sustainability guides our work providing City..."2" or "3" below. 2. One year of satisfactory United States legal experience subsequent to admission… 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 ... change. **Compensation/Benefits Information:** (This section is only applicable to US candidates) S&P Global states that the...to persons with indefinite right to work in the United States . **About S&P Global Ratings** At… more
- TD Bank (New York, NY)
- **Work Location:** United States of America **Hours:** 40 **Pay Details:** $86,840 - $139,360 USD TD is committed to providing fair and equitable compensation ... Compliance **Job Description:** **Department Overview:** The Fair Banking Compliance Officer provides second line oversight and...over 27 million households and businesses in Canada, the United States and around the world. More… 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 ... + Engage with and advise senior management and staff on all issues concerning US compliance rules, regulations, and procedures. + Develop and execute monitoring… more
- S&P Global (New York, NY)
- …Requirements:** This role is limited to persons with indefinite right to work in the United States . **Return to Work:** Have you taken time out for caring ... - Middle Professional (EEO Job Group) (inactive), 20 - Professional (EEO-2 Job Categories- United States of America), RSKMGT202.2 - Middle Professional Tier II… more
- SMBC (New York, NY)
- …SMFG) stock exchanges. In the Americas, SMBC Group has a presence in the US , Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed by the capital strength of ... rule, and be able to implement, and manage SMBC's compliance program for the Volcker Rule. On a day-to-day...Review and enhance critical Volcker Rule processes within its US , Tokyo, and EMEA regions, working with core Finance… more
- Capital One (New York, NY)
- NYC 299 Park Avenue (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance Advisor Senior Manager will ... report directly to the Commercial Broker Dealer Chief Compliance Officer . This role will support three institutional FINRA registered broker dealers and provide … more
- CIBC (New York, NY)
- …about CIBC, 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 and procedures relating to US Capital Markets Equities and ...interview. How You'll Succeed The Senior US Equity Derivatives Compliance Officer is… more
- TD Bank (New York, NY)
- …Qualifications:** This Compliance Officer is a key member of the TDS US Compliance Monitoring and Testing Team and Core Compliance Group. The ... **Work Location** : United States of America **Hours:** 40...Cowen Inc., offering our clients access to a premier US equities business and highly-diverse equity… more
- SMBC (New York, NY)
- …within the Americas Division Compliance Department (ie, Compliance Administrative Officer and Chief Compliance Officer ). **Role Objectives** + Assist ... the Americas, SMBC Group has a presence in the US , Canada, Mexico, Brazil, Chile, Colombia, and Peru. Backed...**Role Description** SMBC would like to hire a Senior Compliance Program Manager who would be responsible for the… more
- Scotiabank (New York, NY)
- …strategies and objectives. Serves as Compliance Officer within Bank Regulatory Compliance of the US operation of The Bank of Nova Scotia (the "BNS"). ... the overall success of the First Line and the Compliance Department in both the US and...family, financial, physical, mental, and social health needs. Location(s): United States : New York : New… more
- Wellington (New York, NY)
- …a member of the Legal, Compliance & Risk Group and will report to a Compliance Officer based in our Boston office, working closely with other compliance ... **About Us ** **Wellington Management** offers comprehensive investment management capabilities...of our clients. **About the Role** Position Overview The Compliance Analyst will support Wellington Management's global private investments… more
- Wellington (New York, NY)
- …Legal, Compliance & Risk Group and will report to the WFD Compliance Officer . Responsibilities The Compliance Analyst's principal responsibilities will ... **About Us ** **Wellington Management** offers comprehensive investment management capabilities...perspectives with those of our clients. **About the Role** ** Compliance analyst, client platform Compliance ** Position overview… more