- Citigroup (Jersey City, NJ)
- Serves as a compliance risk manager for Independent Compliance Risk Management (ICRM)'s Surveillance team responsible for the design, implementation, and ... applicability of policies, resolution of potential red flags or other client /transaction-related compliance escalations. + Managing the identification and… more
- KPMG (New York, NY)
- … client engagements focusing Operational Risk, Operational Resilience, Regulatory Compliance , Surveillance , Conduct Risk, Third Party Risk Assessments and ... **Business Title:** Director , Markets Compliance **Requisition Number:** 118215...quality of the team's deliverables and providing recommendations to client senior leadership Additional Responsibilities for Director :… more
- CIBC (New York, NY)
- …visit CIBC.com (https://www.cibc.com/en/about-cibc.html) The Senior US Equity Derivatives Compliance Officer is responsible for: 1) administering CIBC's policies ... Markets Equities and Equity Derivatives businesses; (2) taking reasonable steps to ensure compliance with all SEC, FINRA, and all other relevant SRO (eg Cboe)… more
- S&P Global (New York, NY)
- …end-to-end rating process, research, cash flow, credit, and structural analytics, and client -facing activities for new issue ratings and surveillance of Esoteric ... internal use):** 12 **The Team:** S&P Global Ratings is seeking an Associate Director to join its Structured Finance practice, which provides credit ratings and… more
- Pixalate, Inc. (New York, NY)
- …New York, Washington DC, London, and Singapore. ABOUT THE ROLE Pixalate is growing our Compliance team and looking for a Product Director to engage with the ... Product Director - Children's Privacy and Safety Online (Data...been used to unearth multiple high-profile criminal and illegal surveillance cases including: + Gizmodo: An iCloud Feature Is… more
- CIBC (New York, NY)
- …detecting when violations do occur. Regulatory Supervision is a business role (not Compliance ) and is delegated the responsibility to supervise on behalf of Global ... supervisory program + Assist with the tracking and organization of surveillance metrics of various regulatory reporting obligations, including: CAT, TRACE, LOPR,… more
- Scotiabank (New York, NY)
- …to work as part of the team and assist the Senior Managers and/or Director , US Internal Control & Global Wholesale Operations Audit to provide audit services to ... Control governance framework is preferred including understanding of Supervision, Surveillance & Monitoring, Trade Floor Supervision, Risk and Control Library… more
- TD Bank (New York, NY)
- …acquisitions (eg, TD Cowen), and continues to expand its product offering and client franchise across all asset classes. The successful candidate will develop an ... also fit for purpose. The role reports to the Director , Global Markets Supervision (Equities), and will provide primary...policies to trading and sales activities in coordination with Compliance or relevant Risk and Control teams. + Conduct… more