- Bloomberg (New York, NY)
- …else. It's up to you to make it happen. What's the role? As the Risk and Compliance Training Officer on the Bloomberg Risk and Compliance Shared ... Compliance Employee Training initiatives. Collaborating closely with the Head of Risk and Compliance Training , the Chief Risk Office, the Legal & … more
- S&P Global (New York, NY)
- **About the Role:** **Grade Level (for internal use):** 12 **The Team:** The Technology Risk & Compliance Officer will work closely with the Ratings ... Data Organization to provide advice and guidance related to risk , regulatory and compliance . The role will...reviews as required. + Assist in the development of compliance training and ongoing communications that promote… more
- Citigroup (New York, NY)
- Serves as a function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for assisting with ... manner consistent with the Citi program framework. Primary responsibilities include monitoring compliance risk behaviors and providing day-to-day Compliance … more
- Citigroup (New York, NY)
- …the execution of a process (QA). + Support in dealing with Operational and Compliance Risk in accordance with established Policy requirements. + Assist in ... The Business Risk and Control Officer is a...to identify, assess, record and response to Operational and Compliance Risk events, ensuring these are captured… more
- Morgan Stanley (New York, NY)
- …as related to risk and compliance . * Together with the Senior Risk Officer facilitates the training on Morgan Stanley Wealth Management compliance ... *POSITION SUMMARY:* *__* The National Risk Officer is responsible for a... is responsible for a wide variety of supervisory, compliance , and risk functions. In conjunction with… more
- Citigroup (New York, NY)
- …accordance with appropriate controls **Qualifications** + Experienced credit underwriter and/or credit risk officer with relevant Funds industry expertise + 5+ ... **Citi Commercial Bank - Institutional Credit Management Counterparty Credit Risk - Funds Underwriting Credit Officer , Asset.../ economics; An MBA, CFA preferred and formal Credit Training is a plus **Development Values** + Risk… more
- American Express (New York, NY)
- … Organization is an independent risk management function, led by the Chief Risk Officer , with the objective of ensuring that American Express operates in a ... the way together. The Global Risk & Compliance...Governance Organization is looking for a US Consumer Services Risk Officer to lead a diverse team of… more
- Morgan Stanley (Purchase, NY)
- …Morgan Stanley is seeking a Vice President to serve as the Financial Crimes Risk Officer for our Workplace and Digital sectors, specifically overseeing the ... #LI-AJ1 **Job:** **Wealth Management* **Title:** *WorkPlace and Digital Financial Crimes Risk Officer * **Location:** *New York-Purchase* **Requisition ID:**… more
- Arena Investors LP (New York, NY)
- …spectrum in areas where conventional sources of capital are scarce. We are seeking a Chief Risk Officer (CRO) to join Arena. The newly created role will create a ... Arena's principal lines of business. The CRO will partner with our Chief Compliance Officer (CCO) and our operating Business Leaders to provide consultation… more
- Citigroup (New York, NY)
- The Business Risk and Control Sr Officer I is a strategic professional who closely follows latest trends in own field and adapts them for application within own ... and material risk inventory process for the Services business ensuring compliance with enterprise risk program requirements and associated standards + Work… more
- Citigroup (New York, NY)
- …and escalating issues for resolution. + Support in dealing with Operational and Compliance Risk in accordance with established Policy requirements. + Assist in ... The Business Risk and Control Officer is a...training are in place to support management of Risk profiles **Qualifications:** + 6-10 years of experience in… more
- JPMorgan Chase (Uniondale, NY)
- Bring your expertise to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help ... realworld challenges that impact our company, customers and communities. Our culture in Risk Management and Compliance is all about thinking outside the box,… more
- JPMorgan Chase (Uniondale, NY)
- As part of Risk Management and Compliance , you are at the center of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a ... challenges that impact our company, customers and communities. As a Credit Officer in Portfolio Management, you should be proficient with commercial real estate… more
- Mastercard (Harrison, NY)
- …the role holder will: 1 - Reports and works closely with the MTS Chief Compliance Officer to determine the effectiveness of the Compliance Program and ... businesses and governments realize their greatest potential._ **Title and Summary** VP, Legal Compliance , Bank Secrecy Act Officer Overview MTS US is the… more
- Raymond James Financial, Inc. (New York, NY)
- …practices. Also, engages with regulators to provide essential risk context. . Reports risk -related data including risk exposure, compliance to risk ... Duties and Responsibilities** . Establishes and oversees the implementation of a risk management framework for the business unit, to include defining the business… more
- Bloomberg (New York, NY)
- …Compliance , Finance, Operational Resilience and Internal Audit, to provide centralized risk frameworks, processes, tools, training and advisory services to ... to make it happen. **What's** **the role?** Bloomberg's Chief Risk Office (CRO) Department plays a critical role in...is to address risks and related issues by providing risk management as a service, focusing on providing and… more
- NatWest Markets (Stamford, CT)
- …with Compliance Risk continue to operate effectively. The Compliance Assurance Officer will alsobe responsible forreporting and escalating controls ... Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer...the Assurancemethodologyand engender a collaborative and transparent culture of compliance . + Activelyparticipatein the annual rules-based risk … more
- Family and Children's Association (Mineola, NY)
- Compliance Officer The Opportunity FCA is excited to announce an opportunity for the position of Compliance Officer . As we continue to grow and evolve, ... evaluate compliance issues/concerns within FCA. The ideal Compliance Officer will ensure FCA complies with...staff and others as appropriate to develop an effective compliance training program, including appropriate introductory … more
- NatWest Markets (Stamford, CT)
- Director Electronic Trading Compliance Officer , US Stamford,United States Permanent Full Time \#R-00241613 Our people work differently depending on their jobs ... of the department and the business. **Director, Electronic Trading Compliance Officer , US** Seeking an experienced ...Represent the 2LOD on global committees. + Contribute to compliance risk assessments. + Investigate and resolve… more
- Citigroup (New York, NY)
- Serves as a senior Research, Marketing, and Content Compliance Officer for Independent Compliance Risk Management (ICRM) responsible for establishing ... senior business risk and control forums, monitoring compliance risk behaviors, providing day-to-day Compliance...efforts; + Assisting in the development and administration of Compliance training for the business. + Overseeing… more