- Bank of America (New York, NY)
- …Skills + Written Communications + Active Listening + Issue Management + Monitoring, Surveillance & Testing + Regulatory Compliance + Technical Documentation + ... Enterprise Financial Risk Sr . Specialist Charlotte, North Carolina;Jersey City, New Jersey;...the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief Financial Officer… more
- Morgan Stanley (New York, NY)
- …variety of supervisory, compliance , and risk functions. In conjunction with the Senior Risk Officer , the NRO has accountability for maintaining a consistent ... to the Complex Manager and Senior Risk Officer . *DUTIES and RESPONSIBILITIES:* ** * Surveillance and...risk and compliance . * Together with the Senior Risk Officer facilitates the training on… more
- Siebert Williams Shank (New York, NY)
- …and experienced compliance professional to the team led by the Chief Compliance Officer . The selected candidates will be responsible for supporting the ... compliance efforts related to supervisory oversight, training, e-mail surveillance , branch office exams, FINRA licensing and registrations, anti-money laundering… more
- Marex (New York, NY)
- …(http://www.marex.com/) (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Executive Compliance Officer - Solutions Advisory position will ... + Provide Compliance Advisory services for US Marex Solutions Trade Surveillance process. + Provide Compliance Advisory services for US Marex Solutions… more
- CIBC (New York, NY)
- …compliance with CIBC policies and industry regulatory requirements; 3) assist senior compliance officers on specific regulatory requirements and special ... to achieve optimal efficiency and ensure accurate criteria; + Senior Compliance Officers to collaborate with potential...Business policies, standards, guidelines and controls. + As a Compliance Officer , this job is accountable for… more
- City of New York (New York, NY)
- …organization, with faster decision-making, transparent public communications, and stronger surveillance and bridges to healthcare systems 2) Address and prevent ... looking to recruit a Preventive Medicine Residency Director and Senior Population Health Physician. This role demands a combination...areas of focus - Advise and assist Chief Medical Officer and other agency executives on areas of focus… more
- Scotiabank (New York, NY)
- …you will be required to work as part of the team and assist the Senior Managers and/or Director, US Internal Control & Global Wholesale Operations Audit to provide ... Control governance framework is preferred including understanding of Supervision, Surveillance & Monitoring, Trade Floor Supervision, Risk and Control Library… more