- 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 ... US Compliance Monitoring ...businesses, working with regional testing teams across the globe. This Compliance Officer will also support other aspects of… 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 ... compliance initiatives to help manage regulatory risk. Compliance Monitoring and Testing + Assist with...assessments **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:**...compliance issue management, new product/business review, complaint handling, compliance monitoring and reporting, 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 ... Compliance and covers the TDS US businesses. This Senior Compliance Officer will also...process and track issues to closure. + Assist the Compliance Testing Team, as needed, on monitoring … more
- Bloomberg (New York, NY)
- … Compliance .** **What's the Role?** **We are seeking a Compliance Officer with deep E-Comms Surveillance & Monitoring experience. You will be responsible ... to you to make it happen.** **Bloomberg's Legal & Compliance Department plays a critical role in supporting our...program.** **Our Team** **As an Electronic Communications (E-Comms) Surveillance Officer , you'll be a critical member of the Employee… more
- TD Bank (New York, NY)
- …along with the ability to handle multiple assignments at the same time. The Senior Compliance Office provides advice, guidance and support to business units in ... work and statuses to a variety of audiences (including senior management), coordination with other Compliance workstreams...risk. **Depth & Scope:** + Works independently as the senior officer and may coach and educate… 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,...regulators. + Establishing and developing effective relationships within Citigroup senior management, front line, second line (including independent risk,… 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 ... and evaluate the impact of controls to address ongoing compliance . + Participate in the review of monitoring... compliance . + Participate in the review of monitoring and surveillance routines and respond to alerts or… more
- BMO Financial Group (New York, NY)
- …training needs and helps develop training based on gaps identified through the compliance monitoring and testing. + Identify enhancements to business group ... assist in the implementation, maintenance and administration of the Fixed Income compliance program. Coordinate and performs risk assessment, monitoring , testing… 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 ...compliance within the department. + Consult with the Senior Associate Dean of Finance regarding the preparation of… more
- Citigroup (New York, NY)
- Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day ...procedures. This role is in support of the Chief Compliance Officer (CCO) of the Futures Commission… more
- Arena Investors LP (New York, NY)
- In this role, you will be directly reporting to the Chief Risk Officer , who is responsible for overseeing and managing the organization's risk management framework. ... This position requires close collaboration with the Chief Risk Officer , where you will provide vital insights and contribute to strategic decision-making processes… 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...Primary focus of role is on day-to-day advisory and monitoring , although roles also contribute to strategic planning within… more
- Truist (New York, NY)
- …Shift:** 1st shift (United States of America) **Please review the following job description:** Senior Compliance Control Group Officer is a subject matter ... provide guidance in time critical situations. In addition, the Senior Compliance Control Group Officer ... experience. 7. Control Room experience, research clearance and compliance monitoring experience. **The annual base salary… more
- Citigroup (New York, NY)
- … Compliance Risk Management (ICRM) program. The individual will serve as a senior swap dealer compliance risk officer for (ICRM) responsible for ... The Swap Dealer Compliance Senior Vice President will serve...consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day … more
- Citigroup (New York, NY)
- Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... a manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance … more
- Trexquant Investment (Stamford, CT)
- …pushes the boundaries of quantitative finance. We are seeking a Chief Compliance Officer (CCO) to join our senior leadership team, overseeing compliance ... investment adviser for private funds. + Maintain and enhance compliance frameworks, policies, and monitoring systems. +...risk assessments and report findings to the CEO and senior leadership. + Represent compliance in investor… more
- Citigroup (New York, NY)
- Serves as a senior compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, ... and processes established within the risk governance framework. + Monitoring adherence to Citi's Compliance Risk Policies...to influence and lead people across cultures at a senior level + Experience in managing regulatory exams and… more
- Citigroup (New York, NY)
- …on changes to internal and regulatory policies as well as oversight for compliance monitoring and testing. + Perform issue management and partner with ... (ii) delivering risk information and analysis to help risk managers and senior management navigate complex risks and regulatory landscape, (iii) providing deep… more