- TD Bank (New York, NY)
- …variety of audiences (including senior management), coordination with other Compliance workstreams to integrate Issues Management intro their respective ... to handle multiple assignments at the same time. The Senior Compliance Office provides advice, guidance and...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… 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 ... team lead directing the day-to-day activities of one Lead Compliance Officer **In this role, you will:**...issues in Public Finance; and ensure that escalated compliance issues receive immediate senior … more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS ... Compliance and covers the TDS US businesses. This Senior Compliance Officer will also...issues identified in the inspection process and track issues to closure. + Assist the Compliance … more
- TD Bank (New York, NY)
- …provide you more specific details for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS ... and certain global businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of the Core … more
- 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 will be ... ensure compliance with company policies** Review, analyze and raise potential compliance issues , including but not limited to, bribery and corruption, money… more
- TD Bank (New York, NY)
- …can provide you more specific details for this role. **Job Description:** The Senior Compliance Office provides advice, guidance and support to business units ... Testing metrics, and contribute to department reporting + Support issues management development and tracking of Compliance -identified...assessments **Depth & Scope:** + Works independently as the senior officer and may coach and educate… more
- Scotiabank (New York, NY)
- Senior Manager, Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... + Communicate with sales and trading management and US Compliance personnel on relevant compliance issues , the regulatory environment, and Compliance… 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, ... of submissions, and the timely escalation and resolution of potential issues . + Communicating extensively (orally and in writing) and developing effective… more
- Bloomberg (New York, NY)
- …for our non-regulated products and services. We work to address regulatory issues , ensure compliance with current/developing rules and regulations, and ... thoughtfully to help address a variety of complex legal issues that arise across the Company's various businesses. Our...- A track record of working with and advising senior business people on compliance matters. -… more
- BMO Financial Group (New York, NY)
- …ensuring adequate management remediation plans and validation. + Elevate high profile issues /risk cases to Compliance and business/group management for prompt ... ensuring adequate management remediation plans and validation. Elevate high profile issues /risk cases to Compliance and business/group management for prompt… more
- CUNY (New York, NY)
- Senior Vice President & Chief Operating Officer **POSITION DETAILS** The CUNY School of Medicine (SoM), located in the heart of Harlem, New York, is the only ... the diversity of our student body more closely. The Senior Vice President and Chief Operating Officer ...reports, briefings, presentations, and responses on institutional and strategic issues , as appropriate. + Assure compliance with… more
- Citigroup (New York, NY)
- The Credit Risk Senior Officer I is a strategic professional who closely follows latest trends in own field and adapts them for application within own job and ... Primarily affects a sub-function. Responsible for handling staff management issues , including resource management and allocation of work within...and trends for senior management and/or the Senior Credit Officer + Monitor an assigned… more
- Citigroup (New York, NY)
- Citibank, NA seeks a Regulatory Risk Senior Officer for its New York, New York location. Duties: Lead analytics to evaluate methodologies for risk-return, limit ... field and 5 years of post-baccalaureate experience as a Credit Portfolio Officer , Project Manager, Senior Consultant, or related position involving developing… more
- Bank of America (New York, NY)
- Senior Treasury Sales Officer - Paytech and NBFI Sales New York, New York;Ontario, California; Chicago, Illinois; San Francisco, California **Job Description:** ... Powered by people. Driven by Technology. **Job Description:** The Senior Treasury Sales Officer (TSO) is responsible...He or she will partner with Corporate Bankers, Product, Compliance , Credit, Risk and Service partners to present optimal… 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
- City of New York (New York, NY)
- …detailed oriented exceptional professional to serve as Assistant Agency Chief Contracting Officer (AACCO) of Compliance . The successful candidate will have ... ADMINISTRATIVE MANAGER The Bureau of the Agency Chief Contracting Officer within the Division of Finance is primarily tasked... management team. Advise the ACCO / DACCO on issues concerning compliance and subcontractor approvals. --Lead… more
- Citigroup (New York, NY)
- The Senior Executive Assistant will provide support to the Chief Accounting Officer (CAO) and Controller by handling correspondence, managing calendars and ... supports an entire department + Manages day to day calendar(s) of senior management + Coordinates all aspects of executive level manager appointments, meetings,… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... procedures. This role is in support of the Chief Compliance Officer (CCO) of the Futures Commission...ICRM and function/business/product management and personnel on regulatory and compliance issues and provide credible challenge. +… more
- Santander US (New York, NY)
- VP, Regulatory Examination Management Compliance Officer New York, United States of America USA Job Family Description: The VP, Regulatory Examination Management ... Compliance Officer follows industry regulatory developments, applying...contact to the regulators + Provide regular reporting to senior management, including status updates and escalations. + Assist… more
- SMBC (New York, NY)
- …as the New Product, Underwriting, Risk Management, Compliance , and Training committees. The Senior Compliance Officer role may manage a coverage area or ... compliance risk, and is represented by the Chief Compliance Officer as either a member or...issues until resolved. + 10+ years of regulatory compliance experience at a broker dealer. BA/BS required. Series… more