- International Rescue Committee (New York, NY)
- Requisition ID: req52161 Job Title: Program Officer , Monitoring & Compliance Sector: Monitoring & Evaluation Employment Category: Regular Employment ... Work Arrangement:Hybrid Job Description Job Overview: The Program Officer , Monitoring and Compliance sits within IRC headquarters Resettlement, Asylum… more
- TD Bank (New York, NY)
- …recruiter who can provide you more specific details for this role **Job Description:** Compliance Monitoring and Testing + Execute the annual Compliance ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** - TD is committed to providing...the firm + Assist in identifying areas for enhanced monitoring or training + Contribute, as needed, to annual… more
- TD Bank (New York, NY)
- …of compliance across the firm + Assist in identifying areas for enhanced monitoring or training The Compliance Officer III supports consumer regulatory ... details for this role **Job Description:** **Job Overview:** This Compliance Officer is a key member of... will also support other aspects of the Core Compliance program as needed. Branch Inspections +… 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
- 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
- City National Bank (New York, NY)
- … Officer is responsible for managing and maintaining assigned areas of the compliance program including monitoring business area compliance with ... ** COMPLIANCE OFFICER SENIOR-CONSUMER** **WHAT IS THE OPPORTUNITY?** The Senior Consumer Compliance… 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
- Bloomberg (New York, NY)
- Senior Data Privacy Compliance Officer - Legal & Compliance **New York, NY** Posted Jun 11, 2024 - Requisition No. 125883 The energy of a newsroom, the pace ... our communities as evidenced by our award-winning pro bono program . The Data Privacy Compliance team works...and continue to enhance the protocol for the intake, monitoring and tracking of requests + Lead the Data… 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)
- …consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance advice ... Serves as a senior 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
- 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 (New York, NY)
- …consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors, providing day-to-day Compliance ... Serves as an Electronic Trading (ET) product compliance risk officer for Independent ...in order to partner to develop and apply CRM program solutions that meet the specific Electronic Trading and… 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 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 (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
- Wells Fargo (New York, NY)
- **About this role:** Wells Fargo is seeking a **Senior** **Lead Compliance Officer ** in Corporate Risk as part of **Equity Sales and Trading Compliance .** ... making sound risk decisions. There is emphasis on proactive monitoring , governance, risk identification and escalation, as well as...the business unit's risk appetite and all risk and compliance program requirements. Candidates applying to job… 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
- SMBC (New York, NY)
- …knowledge of the Volcker rule, and be able to implement, and manage SMBC's compliance program for the Volcker Rule. On a day-to-day basis, the position ... Program to include (i) quarterly metrics reporting, (ii) six pillar compliance program , (iii) annual CEO attestation framework, and (iv) heightened standards… more